Senior Associate

0001569655-21-000001.txt : 20210212 0001569655-21-000001.hdr.sgml : 20210212 20210212141230 ACCESSION NUMBER: 0001569655-21-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Winfield Associates, Inc. CENTRAL INDEX KEY: 0001569655 IRS NUMBER: 311566830 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16105 FILM NUMBER: 21625589 BUSINESS ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 BUSINESS PHONE: 216.241.2575 MAIL ADDRESS: STREET 1: 700 WEST ST. CLAIR STREET 2: SUITE #404 CITY: CLEVELAND STATE: OH ZIP: 44113 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001569655 XXXXXXXX 12-31-2020 12-31-2020 Winfield Associates, Inc.

700 WEST ST. CLAIR SUITE #404 CLEVELAND OH 44113

13F HOLDINGS REPORT 028-16105 N Christophe Jambon Senior Associate 2162412575 Christophe Jambon Cleveland OH 02-12-2021 0 134 236631 false INFORMATION TABLE 2 Winfield13F2020Q4.xml WINFIELD13F2020Q4 3M CO COM Stock 88579Y101 723 4138 SH SOLE 4138 0 0 ADOBE SYS INC Stock 00724F101 550 1100 SH SOLE 1100 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 1690 18425 SH SOLE 18425 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 637 2330 SH SOLE 2330 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 546 2345 SH SOLE 2345 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 8074 4609 SH SOLE 4609 0 0 AMAZON.COM INC Stock 023135106 20734 6366 SH SOLE 6366 0 0 AMERICAN TOWER CORP REIT 03027X100 2755 12274 SH SOLE 12274 0 0 APPLE INC Stock 037833100 19456 146627 SH SOLE 146626 0 0 APTIV PLC SHS Stock G6095L109 1689 12960 SH SOLE 12960 0 0 ARISTA NETWORKS INC COM Stock 040413106 1799 6190 SH SOLE 6190 0 0 AT&T INC COM Stock 00206R102 426 14801 SH SOLE 14801 0 0 ATHERSYS INC NEW COM Stock 04744L106 89 51000 SH SOLE 51000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 789 3403 SH SOLE 3403 0 0 BOEING CO COM Stock 097023105 330 1543 SH SOLE 1543 0 0 BOSTON BEER INC CL A Stock 100557107 450 453 SH SOLE 453 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 364 9242 SH SOLE 9242 0 0 CISCO SYS INC Stock 17275R102 585 13075 SH SOLE 13075 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 685 25752 SH SOLE 25752 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 611 9055 SH SOLE 9055 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 2262 14070 SH SOLE 14070 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 739 10955 SH SOLE 10955 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 147 46790 SH SOLE 46790 0 0 CRISPR THERAPEUTICS AG NAMEN AKT Stock H17182108 236 1540 SH SOLE 1540 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 707 3337 SH SOLE 3337 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2712 17034 SH SOLE 17034 0 0 CYRUSONE INC COM REIT 23283R100 219 3000 SH SOLE 3000 0 0 DIGITAL REALTY TRUST INC REIT 253868103 1536 11013 SH SOLE 11013 0 0 DISNEY WALT CO COM Stock 254687106 682 3765 SH SOLE 3765 0 0 DUKE ENERGY CORP NEW COM NEW Stock 26441C204 304 3323 SH SOLE 3323 0 0 ENERGY TRANSFER LP COM UT LTD PTN Stock 29273V100 170 27473 SH SOLE 27473 0 0 FACEBOOK INC CL A Stock 30303M102 2163 7920 SH SOLE 7920 0 0 FIRST SOLAR INC Stock 336433107 462 4666 SH SOLE 4666 0 0 FIRST TR ABERDEEN GLBL OPP FD COM SHS CEF 337319107 166 15733 SH SOLE 15733 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 1345 26138 SH SOLE 26138 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 444 3585 SH SOLE 3585 0 0 GLOBAL X FINTECH THEMATIC ETF ETF 37954Y814 331 7079 SH SOLE 7079 0 0 GLOBAL X ROBOTICS & ARTIFICIAL INTELLIGENCE THEMATIC ETF ETF 37954Y715 311 9376 SH SOLE 9376 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 220 5760 SH SOLE 5760 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 352 4650 SH SOLE 4650 0 0 GOOGLE INC Stock 02079K305 2846 1624 SH SOLE 1624 0 0 HANNON ARMSTRONG SUST INFR CAP COM REIT 41068X100 615 9700 SH SOLE 9700 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 566 4987 SH SOLE 4987 0 0 HOME DEPOT Stock 437076102 2227 8386 SH SOLE 8386 0 0 II-VI INC COM Stock 902104108 2387 31427 SH SOLE 31427 0 0 ILLUMINA INC Stock 452327109 503 1360 SH SOLE 1360 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 1655 18686 SH SOLE 18686 0 0 INVESCO LTD SHS Stock G491BT108 347 19920 SH SOLE 19920 0 0 INVESCO PREFERRED ETF ETF 46138E511 160 10490 SH SOLE 10490 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF ETF 46138G805 941 28080 SH SOLE 28080 0 0 IRON MTN INC NEW COM REIT 46284V101 370 12540 SH SOLE 12540 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 2569 46565 SH SOLE 46565 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 3451 39950 SH SOLE 39950 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 969 7290 SH SOLE 7290 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 2537 21148 SH SOLE 21148 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 6425 54358 SH SOLE 54358 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 1277 10900 SH SOLE 10900 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 234 5220 SH SOLE 5220 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF ETF 46434G103 205 3300 SH SOLE 3300 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 751 8600 SH SOLE 8600 0 0 ISHARES MBS BOND ETF ETF 464288588 748 6790 SH SOLE 6790 0 0 ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 874 5419 SH SOLE 5419 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 1288 11080 SH SOLE 11080 0 0 ISHARES MSCI USA VALUE FACTOR ETF ETF 46432F388 738 8494 SH SOLE 8494 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 3835 25315 SH SOLE 25315 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 404 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 277 2105 SH SOLE 2105 0 0 ISHARES S&P 500 INDEX ETF 464287200 4322 11514 SH SOLE 11514 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 4776 66138 SH SOLE 66138 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 2747 71330 SH SOLE 71330 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1491 13790 SH SOLE 13790 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 2774 25100 SH SOLE 25100 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 839 13350 SH SOLE 13350 0 0 J M SMUCKER CO NEW Stock 832696405 547 4735 SH SOLE 4735 0 0 JANUS HENDERSON SHORT DURATION INCOME ETF ETF 47103U886 353 7000 SH SOLE 7000 0 0 JOHNSON & JOHNSON COM Stock 478160104 275 1750 SH SOLE 1750 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 526 4140 SH SOLE 4140 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2775 54645 SH SOLE 54645 0 0 KEYCORP COM Stock 493267108 229 13958 SH SOLE 13958 0 0 LOCKHEED MARTIN CORP Stock 539830109 970 2732 SH SOLE 2732 0 0 LOWES COS INC COM Stock 548661107 1352 8426 SH SOLE 8426 0 0 MARVELL TECHNOLOGY GROUP LTD ORD Stock G5876H105 747 15721 SH SOLE 15721 0 0 MICROSOFT Stock 594918104 13480 60605 SH SOLE 60605 0 0 MODERNA INC COM Stock 60770K107 400 3825 SH SOLE 3825 0 0 MONDELEZ INTL INC CL A Stock 609207105 264 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 3421 9529 SH SOLE 9529 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 856 86100 SH SOLE 86100 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN Stock 65341B106 231 3446 SH SOLE 3446 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 270 17800 SH SOLE 17800 0 0 NUVEEN CALIF MUN VALUE FD INC COM CEF 67062C107 559 51800 SH SOLE 51800 0 0 NUVEEN CALIF SELECT TAX FREE I SH BEN INT CEF 67063R103 268 16600 SH SOLE 16600 0 0 NUVEEN MUN VALUE FD CEF 670928100 770 69400 SH SOLE 69400 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 312 19900 SH SOLE 19900 0 0 NUVEEN PFD & INCM SECURTIES FD COM CEF 67072C105 116 11923 SH SOLE 11923 0 0 NVIDIA CORPORATION COM Stock 67066G104 1836 3516 SH SOLE 3516 0 0 PALANTIR TECHNOLOGIES INC CL A Stock 69608A108 986 41875 SH SOLE 41875 0 0 PEPSICO INC COM Stock 713448108 463 3125 SH SOLE 3124 0 0 PFIZER INC COM Stock 717081103 683 18542 SH SOLE 18542 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 2071 18312 SH SOLE 18312 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 5328 52214 SH SOLE 52214 0 0 PROCTER AND GAMBLE CO COM Stock 742718109 234 1680 SH SOLE 1680 0 0 PROGRESSIVE CORP COM Stock 743315103 2536 25643 SH SOLE 25643 0 0 PROLOGIS INC. COM REIT 74340W103 1216 12206 SH SOLE 12206 0 0 QORVO INC COM Stock 74736K101 1243 7475 SH SOLE 7475 0 0 RAPID7 INC COM Stock 753422104 205 2277 SH SOLE 2277 0 0 REDFIN CORP COM Stock 75737F108 203 2965 SH SOLE 2965 0 0 RPM INTL INC COM Stock 749685103 306 3372 SH SOLE 3372 0 0 SALESFORCE COM Stock 79466L302 2268 10194 SH SOLE 10194 0 0 SERVICE PPTYS TR COM SH BEN INT REIT 81761L102 118 10265 SH SOLE 10265 0 0 SERVICENOW INC COM Stock 81762P102 910 1653 SH SOLE 1653 0 0 SHOPIFY INC CL A Stock 82509L107 2609 2305 SH SOLE 2305 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 2140 25851 SH SOLE 25850 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 1571 31885 SH SOLE 31885 0 0 SPDR S&P 500 ETF ETF 78462F103 10397 27808 SH SOLE 27807 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 6342 45046 SH SOLE 45046 0 0 SPLUNK INC COM Stock 848637104 1469 8648 SH SOLE 8648 0 0 STARBUCKS CORP Stock 855244109 390 3650 SH SOLE 3650 0 0 TARGET CORP COM Stock 87612E106 1121 6349 SH SOLE 6349 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 3313 25479 SH SOLE 25479 0 0 TELADOC HEALTH INC COM Stock 87918A105 366 1832 SH SOLE 1832 0 0 TESLA MOTORS INC Stock 88160R101 367 520 SH SOLE 520 0 0 TEXAS INSTRS INC COM Stock 882508104 277 1690 SH SOLE 1690 0 0 UNITEDHEALTH GROUP Stock 91324P102 483 1378 SH SOLE 1378 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 1400 22330 SH SOLE 22330 0 0 VANGUARD COMMUNICATION SERVICES ETF ETF 92204A884 228 1900 SH SOLE 1900 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 1446 30630 SH SOLE 30630 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1636 32655 SH SOLE 32655 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 2726 28067 SH SOLE 28067 0 0 VANGUARD S&P 500 ETF ETF 922908363 698 2031 SH SOLE 2031 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 3175 38143 SH SOLE 38142 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 3743 19233 SH SOLE 19232 0 0 VERIZON COMMUNICATIONS Stock 92343V104 959 16315 SH SOLE 16315 0 0 VISA INC Stock 92826C839 5760 26334 SH SOLE 26334 0 0 WESTERN ASSET HIGH INCOME OPPO COM CEF 95766K109 50 10017 SH SOLE 10017 0 0