Senior Associate

0001569655-21-000004.txt : 20211014 0001569655-21-000004.hdr.sgml : 20211014 20211014130550 ACCESSION NUMBER: 0001569655-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211014 DATE AS OF CHANGE: 20211014 EFFECTIVENESS DATE: 20211014 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: 211322998 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 09-30-2021 09-30-2021 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 10-14-2021 0 151 270681 false INFORMATION TABLE 2 Winfield13F2021Q3.xml WINFIELD13F2021Q3 3M CO COM Stock 88579Y101 726 4138 SH SOLE 4138 0 0 ADOBE SYS INC Stock 00724F101 489 850 SH SOLE 850 0 0 ADVANCED MICRO DEVICES INC COM Stock 007903107 2591 25181 SH SOLE 25181 0 0 AFFIRM HLDGS INC COM CL A Stock 00827B106 246 2065 SH SOLE 2065 0 0 AIR PRODS & CHEMS INC COM Stock 009158106 571 2230 SH SOLE 2230 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS ADR 01609W102 203 1370 SH SOLE 1370 0 0 ALPHABET INC CAP STK CL C Stock 02079K107 12204 4579 SH SOLE 4579 0 0 AMAZON.COM INC Stock 023135106 20282 6174 SH SOLE 6174 0 0 AMERICAN TOWER CORP REIT 03027X100 3243 12217 SH SOLE 12217 0 0 APPLE INC Stock 037833100 19665 138978 SH SOLE 138977 0 0 APTIV PLC SHS Stock G6095L109 1964 13185 SH SOLE 13185 0 0 ARISTA NETWORKS INC COM Stock 040413106 1921 5590 SH SOLE 5590 0 0 AT&T INC COM Stock 00206R102 474 17531 SH SOLE 17531 0 0 ATHERSYS INC NEW COM Stock 04744L106 65 49000 SH SOLE 49000 0 0 AVIENT CORPORATION COM Stock 05368V106 1249 26938 SH SOLE 26938 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW Stock 084670702 718 2629 SH SOLE 2629 0 0 BK OF AMERICA CORP COM Stock 060505104 229 5400 SH SOLE 5400 0 0 BOEING CO COM Stock 097023105 625 2843 SH SOLE 2843 0 0 BP PLC SPONSORED ADR ADR 055622104 508 18605 SH SOLE 18605 0 0 CEDAR FAIR L P DEP UNIT Stock 150185106 259 5595 SH SOLE 5595 0 0 CF INDS HLDGS INC COM Stock 125269100 424 7600 SH SOLE 7600 0 0 CHEVRON CORP NEW COM Stock 166764100 347 3416 SH SOLE 3416 0 0 CISCO SYS INC Stock 17275R102 638 11715 SH SOLE 11715 0 0 COHEN & STEERS LTD DURATION PFD INCOME CEF 19248C105 568 20837 SH SOLE 20837 0 0 COMMUNICATION SERVICES SELECT SECTOR SPDRA FUND ETF 81369Y852 826 10315 SH SOLE 10315 0 0 CONSUMER DISCRETIONARY SEL SECTOR SPDR FD ETF 81369Y407 1225 6825 SH SOLE 6825 0 0 CONSUMER STAPLES SELECT SECTOR SPDR ETF 81369Y308 505 7330 SH SOLE 7330 0 0 CREDIT SUISSE ASSET MGMT INCOM COM CEF 224916106 122 35055 SH SOLE 35055 0 0 CRISPR THERAPEUTICS AG NAMEN AKT Stock H17182108 453 4050 SH SOLE 4050 0 0 CROWDSTRIKE HLDGS INC CL A Stock 22788C105 1058 4303 SH SOLE 4303 0 0 CROWN CASTLE INTL CORP NEW COM REIT 22822V101 2943 16979 SH SOLE 16979 0 0 CYRUSONE INC COM REIT 23283R100 310 4000 SH SOLE 4000 0 0 DIGITAL REALTY TRUST INC REIT 253868103 1797 12439 SH SOLE 12439 0 0 DISNEY WALT CO COM Stock 254687106 659 3895 SH SOLE 3895 0 0 DUKE ENERGY CORP NEW COM NEW Stock 26441C204 317 3248 SH SOLE 3248 0 0 EATON CORP PLC SHS Stock G29183103 225 1505 SH SOLE 1505 0 0 ENERGY TRANSFER L P COM UT LTD PTN Stock 29273V100 232 24184 SH SOLE 24184 0 0 EVGO INC CL A COM Stock 30052F100 90 11000 SH SOLE 11000 0 0 FACEBOOK INC CL A Stock 30303M102 2598 7654 SH SOLE 7654 0 0 FINANCIAL SELECT SECTOR SPDR ETF 81369Y605 203 5400 SH SOLE 5400 0 0 FIRST SOLAR INC Stock 336433107 441 4616 SH SOLE 4616 0 0 FIRST TRUST LOW DURATION MORTGAGE OPPORTUNITIES ETF ETF 33739Q200 746 14751 SH SOLE 14751 0 0 FIRST TRUST SENIOR LOAN FUND ETF 33738D309 548 11455 SH SOLE 11455 0 0 GALLAGHER ARTHUR J & CO COM Stock 363576109 529 3560 SH SOLE 3560 0 0 GILEAD SCIENCES INC Stock 375558103 216 3095 SH SOLE 3095 0 0 GLOBAL X FINTECH THEMATIC ETF ETF 37954Y814 776 16164 SH SOLE 16164 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ETF 381430206 236 6360 SH SOLE 6360 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ETF 381430503 771 8960 SH SOLE 8960 0 0 GOOGLE INC Stock 02079K305 3746 1401 SH SOLE 1401 0 0 HANNON ARMSTRONG SUST INFR CAP COM REIT 41068X100 873 16332 SH SOLE 16332 0 0 HEALTH CARE SELECT SECTOR SPDR ETF 81369Y209 635 4987 SH SOLE 4987 0 0 HOME DEPOT Stock 437076102 2879 8772 SH SOLE 8772 0 0 HUNTINGTON BANCSHARES INC COM Stock 446150104 319 20603 SH SOLE 20603 0 0 II-VI INC COM Stock 902104108 1576 26555 SH SOLE 26555 0 0 ILLUMINA INC Stock 452327109 515 1270 SH SOLE 1270 0 0 INDUSTRIAL SELECT SECTOR SPDR ETF 81369Y704 3373 34478 SH SOLE 34478 0 0 INVESCO LTD SHS Stock G491BT108 425 17620 SH SOLE 17620 0 0 INVESCO PREFERRED ETF ETF 46138E511 170 11325 SH SOLE 11325 0 0 INVESCO TAXABLE MUNICIPAL BOND ETF ETF 46138G805 762 23145 SH SOLE 23145 0 0 IRON MTN INC NEW COM REIT 46284V101 555 12780 SH SOLE 12780 0 0 ISHARES 0-5 YEAR HIGH YIELD CORPORATE BOND ETF ETF 46434V407 1129 24694 SH SOLE 24694 0 0 ISHARES 0-5 YR TIPS BOND ETF ETF 46429B747 338 3200 SH SOLE 3200 0 0 ISHARES 1-3 YR CREDIT BOND ETF ETF 464288646 3213 58811 SH SOLE 58811 0 0 ISHARES 1-3 YR TREASURY BOND ETF ETF 464287457 3149 36550 SH SOLE 36550 0 0 ISHARES 3-7 YR TREASURY BOND ETF ETF 464288661 910 6990 SH SOLE 6990 0 0 ISHARES 7-10 YR TREASURY BOND ETF ETF 464287440 2244 19474 SH SOLE 19474 0 0 ISHARES AGGREGATE BOND ETF ETF 464287226 4669 40657 SH SOLE 40657 0 0 ISHARES AMT-FREE MUNI BOND ETF ETF 464288414 1208 10400 SH SOLE 10400 0 0 ISHARES CORE DIVIDEND GROWTH ETF ETF 46434V621 285 5670 SH SOLE 5670 0 0 ISHARES CORE S&P MID CAP ETF ETF 464287507 303 1153 SH SOLE 1153 0 0 ISHARES DJ SELECT DIVIDEND ETF 464287168 3440 29990 SH SOLE 29990 0 0 ISHARES IBOXX HIGH YIELD CORPORATE BOND ETF ETF 464288513 989 11300 SH SOLE 11300 0 0 ISHARES MBS BOND ETF ETF 464288588 340 3140 SH SOLE 3140 0 0 ISHARES MSCI JAPAN ETF ETF 46434G822 233 3319 SH SOLE 3319 0 0 ISHARES MSCI USA MOMENTUM FACTOR ETF ETF 46432F396 839 4780 SH SOLE 4780 0 0 ISHARES MSCI USA QUALITY FACTOR ETF ETF 46432F339 701 5324 SH SOLE 5324 0 0 ISHARES MSCI USA VALUE FACTOR ETF ETF 46432F388 2051 20364 SH SOLE 20364 0 0 ISHARES NASDAQ BIOTECHNOLOGY ETF 464287556 4048 25040 SH SOLE 25040 0 0 ISHARES RUSSELL 2000 ETF ETF 464287655 451 2060 SH SOLE 2060 0 0 ISHARES RUSSELL 2000 VALUE ETF 464287630 1328 8285 SH SOLE 8285 0 0 ISHARES S&P 500 INDEX ETF 464287200 6157 14292 SH SOLE 14292 0 0 ISHARES S&P MIDCAP 400 GROWTH INDEX ETF 464287606 5319 67168 SH SOLE 67168 0 0 ISHARES S&P SMALLCAP 600 ETF ETF 464287804 2748 25165 SH SOLE 25165 0 0 ISHARES S&P U.S. PREFERRED STOCK ETF ETF 464288687 2094 53946 SH SOLE 53946 0 0 ISHARES SHORT-TERM NATIONAL MUNI BOND ETF ETF 464288158 1654 15380 SH SOLE 15380 0 0 ISHARES TR LEHMAN SHORT TREA BDFD ETF 464288679 2397 21700 SH SOLE 21700 0 0 ISHARES TR S&P CALIF MUN BD FD ETF 464288356 1006 16200 SH SOLE 16200 0 0 J M SMUCKER CO NEW Stock 832696405 547 4560 SH SOLE 4560 0 0 JANUS HENDERSON SHORT DURATION INCOME ETF ETF 47103U886 808 16100 SH SOLE 16100 0 0 JOHNSON & JOHNSON COM Stock 478160104 283 1750 SH SOLE 1750 0 0 JPMORGAN CHASE & CO COM Stock 46625H100 824 5033 SH SOLE 5033 0 0 JPMORGAN RESEARCH ENHANCED HIGH YIELD ETF ETF 46641Q878 1092 20967 SH SOLE 20967 0 0 JPMORGAN U.S. VALUE FACTOR ETF ETF 46641Q753 948 26686 SH SOLE 26686 0 0 JPMORGAN ULTRA-SHORT INCOME ETF ETF 46641Q837 2784 54890 SH SOLE 54890 0 0 JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF ETF 46641Q654 868 17000 SH SOLE 17000 0 0 KEYCORP COM Stock 493267108 248 11458 SH SOLE 11458 0 0 LOCKHEED MARTIN CORP Stock 539830109 417 1207 SH SOLE 1207 0 0 LOWES COS INC COM Stock 548661107 1833 9036 SH SOLE 9036 0 0 M/I HOMES INC COM Stock 55305B101 526 9100 SH SOLE 9100 0 0 MARVELL TECHNOLOGY INC COM Stock 573874104 1042 17271 SH SOLE 17271 0 0 MICROCHIP TECHNOLOGY INC Stock 595017104 203 1323 SH SOLE 1323 0 0 MICROSOFT Stock 594918104 16781 59525 SH SOLE 59525 0 0 MODERNA INC COM Stock 60770K107 1851 4810 SH SOLE 4810 0 0 MONDELEZ INTL INC CL A Stock 609207105 263 4512 SH SOLE 4512 0 0 MONGODB INC CL A Stock 60937P106 3526 7479 SH SOLE 7479 0 0 NEW RESIDENTIAL INVESTMENT CORP REIT 64828T201 961 87400 SH SOLE 87400 0 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN Stock 65341B106 638 8471 SH SOLE 8471 0 0 NIKE INC CLASS B Stock 654106103 200 1380 SH SOLE 1380 0 0 NUVEEN CA QUALTY MUN INCOME FD COM CEF 67066Y105 169 10800 SH SOLE 10800 0 0 NUVEEN CALIF SELECT TAX FREE I SH BEN INT CEF 67063R103 262 16600 SH SOLE 16600 0 0 NUVEEN CALIFORNIA MUNI VLU FD COM STK CEF 67062C107 539 51100 SH SOLE 51100 0 0 NUVEEN MUN VALUE FD CEF 670928100 851 75200 SH SOLE 75200 0 0 NUVEEN OHIO QUALITY INCOME MUN FD INC CEF 670980101 315 19900 SH SOLE 19900 0 0 NVIDIA CORPORATION COM Stock 67066G104 2735 13203 SH SOLE 13203 0 0 PALANTIR TECHNOLOGIES INC CL A Stock 69608A108 1036 43075 SH SOLE 43075 0 0 PEPSICO INC COM Stock 713448108 440 2925 SH SOLE 2924 0 0 PFIZER INC COM Stock 717081103 919 21357 SH SOLE 21357 0 0 PIMCO ACTIVE BOND EXCHANGE-TRADED FUND ETF 72201R775 1950 17639 SH SOLE 17639 0 0 PIMCO ENHANCED SHORT MATURITY ETF ETF 72201R833 4718 46282 SH SOLE 46282 0 0 PROCTER AND GAMBLE CO COM Stock 742718109 235 1680 SH SOLE 1680 0 0 PROGRESSIVE CORP COM Stock 743315103 2547 28183 SH SOLE 28183 0 0 PROLOGIS INC. COM REIT 74340W103 2130 16984 SH SOLE 16984 0 0 QORVO INC COM Stock 74736K101 1283 7675 SH SOLE 7675 0 0 RPM INTL INC COM Stock 749685103 262 3372 SH SOLE 3372 0 0 SALESFORCE COM Stock 79466L302 2665 9826 SH SOLE 9826 0 0 SERVICENOW INC COM Stock 81762P102 1211 1946 SH SOLE 1946 0 0 SHOPIFY INC CL A Stock 82509L107 3167 2336 SH SOLE 2336 0 0 SPDR BLOOMBERG CONVERTIBLE SECURITIES ETF ETF 78464A359 2120 24841 SH SOLE 24840 0 0 SPDR DOUBLELINE TOTAL RETURN TACTICAL ETF ETF 78467V848 1488 30785 SH SOLE 30785 0 0 SPDR S&P 500 ETF ETF 78462F103 11729 27331 SH SOLE 27330 0 0 SPDR S&P BIOTECH ETF ETF 78464A870 5974 47524 SH SOLE 47524 0 0 SPDR S&P REGIONAL BANKING ETF ETF 78464A698 417 6160 SH SOLE 6160 0 0 STARBUCKS CORP Stock 855244109 403 3650 SH SOLE 3650 0 0 TARGET CORP COM Stock 87612E106 1330 5814 SH SOLE 5813 0 0 TECHNOLOGY SELECT SECTOR SPDR ETF 81369Y803 3224 21594 SH SOLE 21594 0 0 TELADOC HEALTH INC COM Stock 87918A105 306 2417 SH SOLE 2417 0 0 TESLA MOTORS INC Stock 88160R101 456 588 SH SOLE 588 0 0 TEXAS INSTRS INC COM Stock 882508104 365 1900 SH SOLE 1900 0 0 UNITEDHEALTH GROUP Stock 91324P102 511 1307 SH SOLE 1307 0 0 UTILITIES SELECT SECTOR SPDR ETF 81369Y886 1766 27639 SH SOLE 27639 0 0 VANGUARD COMMUNICATION SERVICES ETF ETF 92204A884 267 1900 SH SOLE 1900 0 0 VANGUARD FTSE DEVELOPED MARKETS ETF ETF 921943858 1522 30148 SH SOLE 30148 0 0 VANGUARD FTSE EMERGING MARKETS ETF ETF 922042858 559 11180 SH SOLE 11180 0 0 VANGUARD INTERMEDIATE-TERM CORPORATE BOND ETF ETF 92206C870 1957 20726 SH SOLE 20726 0 0 VANGUARD S&P 500 ETF ETF 922908363 722 1831 SH SOLE 1831 0 0 VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND ETF 92206C409 3590 43560 SH SOLE 43560 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND ETF 922908769 4777 21510 SH SOLE 21510 0 0 VERIZON COMMUNICATIONS Stock 92343V104 792 14663 SH SOLE 14663 0 0 VISA INC Stock 92826C839 4391 19714 SH SOLE 19714 0 0 WALMART INC COM Stock 931142103 393 2822 SH SOLE 2822 0 0 WEYERHAEUSER CO REIT 962166104 439 12332 SH SOLE 12332 0 0