Senior Associate

0001569655-21-000003.txt : 20210811 0001569655-21-000003.hdr.sgml : 20210811 20210811162501 ACCESSION NUMBER: 0001569655-21-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210811 DATE AS OF CHANGE: 20210811 EFFECTIVENESS DATE: 20210811 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: 211163759 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 06-30-2021 06-30-2021 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 08-11-2021 0 148 271301 false INFORMATION TABLE 2 Winfield13F2021Q2.xml 3M CO COM Stock 88579Y101 822 4138 SH SOLE 4138 0 0 ADOBE SYS INC Stock 00724F101 498 850 SH SOLE 850 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 1923 20475 SH SOLE 20475 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 642 2230 SH SOLE 2230 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 358 1580 SH SOLE 1580 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 11449 4568 SH SOLE 4568 0 0 AMAZON.COM INC Stock 023135106 21178 6156 SH SOLE 6156 0 0 AMERICAN TOWER CORP REIT 03027X100 3283 12152 SH SOLE 12152 0 0 APPLE INC Stock 037833100 19211 140271 SH SOLE 140270 0 0 APTIV PLC SHS Stock G6095L109 2106 13385 SH SOLE 13385 0 0 ARISTA NETWORKS INC COM Stock 040413106 2116 5840 SH SOLE 5840 0 0 AT&T INC COM Stock 00206R102 496 17246 SH SOLE 17246 0 0 ATHERSYS INC NEW COM Stock 04744L106 71 49000 SH SOLE 49000 0 0 AVIENT CORPORATION COM Stock 05368V106 1324 26938 SH SOLE 26938 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 731 2629 SH SOLE 2629 0 0 BK OF AMERICA CORP COM Stock 060505104 223 5400 SH SOLE 5400 0 0 BOEING CO COM Stock 097023105 681 2843 SH SOLE 2843 0 0 BP PLC SPONSORED ADR ADR 055622104 462 17500 SH SOLE 17500 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 278 6205 SH SOLE 6205 0 0 CF INDS HLDGS INC COM Stock 125269100 391 7600 SH SOLE 7600 0 0 CHEVRON CORP NEW COM Stock 166764100 358 3416 SH SOLE 3416 0 0 CISCO SYS INC Stock 17275R102 621 11725 SH SOLE 11725 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 571 20837 SH SOLE 20837 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 795 9815 SH SOLE 9815 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 1219 6825 SH SOLE 6825 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 520 7430 SH SOLE 7430 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 124 35295 SH SOLE 35295 0 0 CRISPR THERAPEUTICS AG NAMEN AKT Stock H17182108 737 4550 SH SOLE 4550 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 1020 4058 SH SOLE 4058 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 3313 16979 SH SOLE 16979 0 0 CYRUSONE INC COM REIT 23283R100 215 3000 SH SOLE 3000 0 0 DIGITAL REALTY TRUST INC REIT 253868103 1802 11974 SH SOLE 11974 0 0 DISNEY WALT CO COM Stock 254687106 667 3795 SH SOLE 3795 0 0 DUKE ENERGY CORP NEW COM NEW Stock 26441C204 322 3263 SH SOLE 3263 0 0 EATON CORP PLC SHS Stock G29183103 225 1520 SH SOLE 1520 0 0 ENERGY TRANSFER L P COM UT LTD PTN Stock 29273V100 272 25565 SH SOLE 25565 0 0 EVGO INC CL A COM Stock 18716C100 165 11000 SH SOLE 11000 0 0 FACEBOOK INC CL A Stock 30303M102 2665 7664 SH SOLE 7664 0 0 FIRST SOLAR INC Stock 336433107 418 4616 SH SOLE 4616 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 1069 21011 SH SOLE 21011 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 502 3585 SH SOLE 3585 0 0 GLOBAL X FINTECH THEMATIC ETF ETF 37954Y814 709 14864 SH SOLE 14864 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 300 7360 SH SOLE 7360 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 527 6120 SH SOLE 6120 0 0 GOOGLE INC Stock 02079K305 3421 1401 SH SOLE 1401 0 0 HANNON ARMSTRONG SUST INFR CAP COM REIT 41068X100 906 16132 SH SOLE 16132 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 628 4987 SH SOLE 4987 0 0 HOME DEPOT Stock 437076102 2697 8456 SH SOLE 8456 0 0 HUNTINGTON BANCSHARES INC COM Stock 446150104 294 20603 SH SOLE 20603 0 0 II-VI INC COM Stock 902104108 2815 38777 SH SOLE 38777 0 0 ILLUMINA INC Stock 452327109 601 1270 SH SOLE 1270 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 3510 34278 SH SOLE 34278 0 0 INVESCO LTD SHS Stock G491BT108 486 18190 SH SOLE 18190 0 0 INVESCO PREFERRED ETF ETF 46138E511 176 11490 SH SOLE 11490 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF ETF 46138G805 768 23145 SH SOLE 23145 0 0 IRON MTN INC NEW COM REIT 46284V101 503 11880 SH SOLE 11880 0 0 ISHARES 0-5 YEAR HIGH YIELD CORPORATE BOND ETF ETF 46434V407 568 12321 SH SOLE 12321 0 0 ISHARES 0-5 YR TIPS BOND ETF ETF 46429B747 340 3200 SH SOLE 3200 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 3158 57612 SH SOLE 57612 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 3074 35675 SH SOLE 35675 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 945 7240 SH SOLE 7240 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 2240 19396 SH SOLE 19396 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 4868 42212 SH SOLE 42212 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 1277 10900 SH SOLE 10900 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 286 5670 SH SOLE 5670 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF ETF 46434G103 221 3300 SH SOLE 3300 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 3403 29180 SH SOLE 29180 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 977 11100 SH SOLE 11100 0 0 ISHARES MBS BOND ETF ETF 464288588 340 3140 SH SOLE 3140 0 0 ISHARES MSCI JAPAN ETF ETF 46434G822 224 3319 SH SOLE 3319 0 0 ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 829 4780 SH SOLE 4780 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 708 5328 SH SOLE 5328 0 0 ISHARES MSCI USA VALUE FACTOR ETF ETF 46432F388 2031 19332 SH SOLE 19332 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 4149 25350 SH SOLE 25350 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 473 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 1423 8585 SH SOLE 8585 0 0 ISHARES S&P 500 INDEX ETF 464287200 5628 13091 SH SOLE 13091 0 0 ISHARES S&P GLOBAL CLEAN ENERGY INDEX FUND ETF 464288224 209 8920 SH SOLE 8920 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 5501 67968 SH SOLE 67968 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 2595 22965 SH SOLE 22965 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 2344 59586 SH SOLE 59586 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1658 15380 SH SOLE 15380 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 2453 22200 SH SOLE 22200 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 1014 16200 SH SOLE 16200 0 0 ISHARES U.S. CONSUMER SERVICES ETF ETF 464287580 246 3167 SH SOLE 3167 0 0 J M SMUCKER CO NEW Stock 832696405 591 4560 SH SOLE 4560 0 0 JANUS HENDERSON SHORT DURATION INCOME ETF ETF 47103U886 834 16600 SH SOLE 16600 0 0 JOHNSON & JOHNSON COM Stock 478160104 288 1750 SH SOLE 1750 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 744 4783 SH SOLE 4783 0 0 JPMORGAN RESEARCH ENHANCED HIGH YIELD ETF ETF 46641Q878 921 17612 SH SOLE 17612 0 0 JPMORGAN U.S. VALUE FACTOR ETF ETF 46641Q753 767 21186 SH SOLE 21186 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2829 55745 SH SOLE 55745 0 0 JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF ETF 46641Q654 868 17000 SH SOLE 17000 0 0 KEYCORP COM Stock 493267108 288 13958 SH SOLE 13958 0 0 LOCKHEED MARTIN CORP Stock 539830109 457 1207 SH SOLE 1207 0 0 LOWES COS INC COM Stock 548661107 1724 8886 SH SOLE 8886 0 0 M/I HOMES INC COM Stock 55305B101 663 11300 SH SOLE 11300 0 0 MARVELL TECHNOLOGY INC COM Stock 573874104 1022 17521 SH SOLE 17521 0 0 MICROSOFT Stock 594918104 16101 59435 SH SOLE 59435 0 0 MODERNA INC COM Stock 60770K107 922 3925 SH SOLE 3925 0 0 MONDELEZ INTL INC CL A Stock 609207105 282 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 2704 7479 SH SOLE 7479 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 954 90100 SH SOLE 90100 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN Stock 65341B106 647 8471 SH SOLE 8471 0 0 NIKE INC CLASS B Stock 654106103 213 1380 SH SOLE 1380 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 171 10800 SH SOLE 10800 0 0 NUVEEN CALIF SELECT TAX FREE I SH BEN INT CEF 67063R103 280 16600 SH SOLE 16600 0 0 NUVEEN CALIFORNIA MUNI VLU FD COM STK CEF 67062C107 547 51100 SH SOLE 51100 0 0 NUVEEN MUN VALUE FD CEF 670928100 861 74700 SH SOLE 74700 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 326 19900 SH SOLE 19900 0 0 NVIDIA CORPORATION COM Stock 67066G104 2695 3368 SH SOLE 3368 0 0 PALANTIR TECHNOLOGIES INC CL A Stock 69608A108 1128 42775 SH SOLE 42775 0 0 PEPSICO INC COM Stock 713448108 463 3125 SH SOLE 3124 0 0 PFIZER INC COM Stock 717081103 822 20982 SH SOLE 20982 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 1989 17924 SH SOLE 17924 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 4904 48092 SH SOLE 48092 0 0 PROCTER AND GAMBLE CO COM Stock 742718109 227 1680 SH SOLE 1680 0 0 PROGRESSIVE CORP COM Stock 743315103 2738 27883 SH SOLE 27883 0 0 PROLOGIS INC. COM REIT 74340W103 1798 15039 SH SOLE 15039 0 0 QORVO INC COM Stock 74736K101 1502 7675 SH SOLE 7675 0 0 REDFIN CORP COM Stock 75737F108 216 3400 SH SOLE 3400 0 0 RPM INTL INC COM Stock 749685103 299 3372 SH SOLE 3372 0 0 SALESFORCE COM Stock 79466L302 2268 9286 SH SOLE 9286 0 0 SERVICENOW INC COM Stock 81762P102 1050 1911 SH SOLE 1911 0 0 SHOPIFY INC CL A Stock 82509L107 3404 2330 SH SOLE 2330 0 0 SPDR BLOOMBERG BARCLAYS CONVERTIBLE SECURITIES ETF ETF 78464A359 2194 25301 SH SOLE 25300 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 1510 31185 SH SOLE 31185 0 0 SPDR S&P 500 ETF ETF 78462F103 11656 27231 SH SOLE 27230 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 6446 47608 SH SOLE 47608 0 0 SPDR S&P REGIONAL BANKING ETF ETF 78464A698 404 6160 SH SOLE 6160 0 0 STARBUCKS CORP Stock 855244109 408 3650 SH SOLE 3650 0 0 TARGET CORP COM Stock 87612E106 1405 5813 SH SOLE 5813 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 3184 21562 SH SOLE 21562 0 0 TELADOC HEALTH INC COM Stock 87918A105 400 2407 SH SOLE 2407 0 0 TESLA MOTORS INC Stock 88160R101 400 588 SH SOLE 588 0 0 TEXAS INSTRS INC COM Stock 882508104 267 1390 SH SOLE 1390 0 0 UNITEDHEALTH GROUP Stock 91324P102 523 1307 SH SOLE 1307 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 1668 26374 SH SOLE 26374 0 0 VANGUARD COMMUNICATION SERVICES ETF ETF 92204A884 273 1900 SH SOLE 1900 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 1593 30914 SH SOLE 30914 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 1814 33404 SH SOLE 33404 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 1989 20926 SH SOLE 20926 0 0 VANGUARD S&P 500 ETF ETF 922908363 721 1831 SH SOLE 1831 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 3566 43120 SH SOLE 43120 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 4778 21442 SH SOLE 21441 0 0 VERIZON COMMUNICATIONS Stock 92343V104 822 14663 SH SOLE 14663 0 0 VISA INC Stock 92826C839 5983 25588 SH SOLE 25588 0 0 WEYERHAEUSER CO REIT 962166104 424 12332 SH SOLE 12332 0 0