0001606587-22-000977.txt : 20220506 0001606587-22-000977.hdr.sgml : 20220506 20220506122416 ACCESSION NUMBER: 0001606587-22-000977 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220506 DATE AS OF CHANGE: 20220506 EFFECTIVENESS DATE: 20220506 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: 22899833 BUSINESS ADDRESS: STREET 1: 120 WEST 45TH STREET STREET 2: SUITE 3800 CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-867-7647 MAIL ADDRESS: STREET 1: 120 WEST 45TH STREET STREET 2: SUITE 3800 CITY: NEW YORK STATE: NY ZIP: 10036 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001662449 XXXXXXXX 03-31-2022 03-31-2022 false Klingman & Associates, LLC

120 WEST 45TH STREET SUITE 3800 New York NY 10036

13F HOLDINGS REPORT 028-17124 N Michael Paley 212-867-7647 Michael Paley New York NY 05-06-2022 0 204 1177198 false INFORMATION TABLE 2 form13InfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBOTT LABS COM 002824100 1112 9395 SH SOLE NONE 0 0 9395 ABBVIE INC COM 00287Y109 1291 7960 SH SOLE NONE 0 0 7960 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 323 958 SH SOLE NONE 0 0 958 ADOBE SYSTEMS INCORPORATED COM 00724F101 296 650 SH SOLE NONE 0 0 650 ADVANCED MICRO DEVICES INC COM 007903107 321 2938 SH SOLE NONE 0 0 2938 ALLIANT ENERGY CORP COM 018802108 305 4876 SH SOLE NONE 0 0 4876 ALPHABET INC CAP STK CL C 02079K107 2095 750 SH SOLE NONE 0 0 750 ALPHABET INC CAP STK CL A 02079K305 1775 638 SH SOLE NONE 0 0 638 AMAZON COM INC COM 023135106 5262 1614 SH SOLE NONE 0 0 1614 AMERICAN CENTY ETF TR US SML CP VALU 025072877 730 9138 SH SOLE NONE 0 0 9138 AMGEN INC COM 031162100 218 905 SH SOLE NONE 0 0 905 APPLE INC COM 037833100 34342 196678 SH SOLE NONE 0 0 196678 APPLIED MATLS INC COM 038222105 2065 15665 SH SOLE NONE 0 0 15665 ARK ETF TR INNOVATION ETF 00214Q104 452 6817 SH SOLE NONE 0 0 6817 ATT INC COM 00206R102 225 9496 SH SOLE NONE 0 0 9496 AUTOMATIC DATA PROCESSING IN COM 053015103 1052 4625 SH SOLE NONE 0 0 4625 BERKSHIRE HATHAWAY INC DEL CL A 084670108 529 1 SH SOLE NONE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2752 7798 SH SOLE NONE 0 0 7798 BK OF AMERICA CORP COM 060505104 290 7036 SH SOLE NONE 0 0 7036 BLACKROCK FLOATING RATE INCO COM 09255X100 187 14394 SH SOLE NONE 0 0 14394 BLACKROCK MUNIHLDGS NY QLTY COM 09255C106 186 14485 SH SOLE NONE 0 0 14485 BLACKSTONE INC COM 09260D107 1757 13838 SH SOLE NONE 0 0 13838 BROADSTONE NET LEASE INC COM 11135E203 311 14288 SH SOLE NONE 0 0 14288 CAMDEN PPTY TR SH BEN INT 133131102 333 2003 SH SOLE NONE 0 0 2003 CARMAX INC COM 143130102 267 2767 SH SOLE NONE 0 0 2767 CHEVRON CORP NEW COM 166764100 591 3635 SH SOLE NONE 0 0 3635 CISCO SYS INC COM 17275R102 625 11203 SH SOLE NONE 0 0 11203 CITIZENS FINL GROUP INC COM 174610105 14630 322743 SH SOLE NONE 0 0 322743 COCA COLA CO COM 191216100 408 6578 SH SOLE NONE 0 0 6578 COLGATE PALMOLIVE CO COM 194162103 216 2855 SH SOLE NONE 0 0 2855 COMCAST CORP NEW CL A 20030N101 251 5362 SH SOLE NONE 0 0 5362 COMPASS INC CL A 20464U100 5853 744650 SH SOLE NONE 0 0 744650 CONSOLIDATED EDISON INC COM 209115104 292 3082 SH SOLE NONE 0 0 3082 CORNING INC COM 219350105 234 6350 SH SOLE NONE 0 0 6350 COSTCO WHSL CORP NEW COM 22160K105 683 1186 SH SOLE NONE 0 0 1186 CREDIT ACCEP CORP MICH COM 225310101 402 731 SH SOLE NONE 0 0 731 CROCS INC COM 227046109 3127 40923 SH SOLE NONE 0 0 40923 CSX CORP COM 126408103 325 8667 SH SOLE NONE 0 0 8667 CVS HEALTH CORP COM 126650100 705 6972 SH SOLE NONE 0 0 6972 DANAHER CORPORATION COM 235851102 402 1370 SH SOLE NONE 0 0 1370 DARIOHEALTH CORP COM NEW 23725P209 86 14642 SH SOLE NONE 0 0 14642 DATADOG INC CL A COM 23804L103 33168 218973 SH SOLE NONE 0 0 218973 DEERE CO COM 244199105 334 805 SH SOLE NONE 0 0 805 DIMENSIONAL ETF TRUST US EQUITY ETF 25434V401 736 15010 SH SOLE NONE 0 0 15010 DIMENSIONAL ETF TRUST US TARGETED VLU 25434V609 3013 64681 SH SOLE NONE 0 0 64681 DIMENSIONAL ETF TRUST INTERNATNAL VAL 25434V807 325 9721 SH SOLE NONE 0 0 9721 DISNEY WALT CO COM 254687106 649 4725 SH SOLE NONE 0 0 4725 DOMINION ENERGY INC COM 25746U109 240 2829 SH SOLE NONE 0 0 2829 DOUBLEVERIFY HLDGS INC COM 25862V105 550 21834 SH SOLE NONE 0 0 21834 DOW INC COM 260557103 230 3607 SH SOLE NONE 0 0 3607 DUKE ENERGY CORP NEW COM NEW 26441C204 297 2664 SH SOLE NONE 0 0 2664 EQUITY RESIDENTIAL SH BEN INT 29476L107 459 5106 SH SOLE NONE 0 0 5106 EXXON MOBIL CORP COM 30231G102 1958 23711 SH SOLE NONE 0 0 23711 F5 INC COM 315616102 362 1734 SH SOLE NONE 0 0 1734 GENERAL ELECTRIC CO COM NEW 369604301 775 8474 SH SOLE NONE 0 0 8474 GENERAL MLS INC COM 370334104 342 5053 SH SOLE NONE 0 0 5053 GREENBRIER COS INC COM 393657101 227 4400 SH SOLE NONE 0 0 4400 HERSHEY CO COM 427866108 492 2270 SH SOLE NONE 0 0 2270 HOME DEPOT INC COM 437076102 2738 9146 SH SOLE NONE 0 0 9146 HONEYWELL INTL INC COM 438516106 497 2559 SH SOLE NONE 0 0 2559 INTEL CORP COM 458140100 962 19409 SH SOLE NONE 0 0 19409 INTERNATIONAL BUSINESS MACHS COM 459200101 413 3176 SH SOLE NONE 0 0 3176 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 4974 74142 SH SOLE NONE 0 0 74142 INVESCO EXCH TRADED FD TR II FTSE RAFI SML 46138E735 850 24655 SH SOLE NONE 0 0 24655 INVESCO EXCH TRADED FD TR II FTSE RAFI DEV 46138E743 287 6213 SH SOLE NONE 0 0 6213 INVESCO EXCH TRADED FD TR II S&P SMALLCAP 600 46138G664 1166 9723 SH SOLE NONE 0 0 9723 INVESCO EXCH TRADED FD TR II S&P MDCP 400 REV 46138G672 1194 12954 SH SOLE NONE 0 0 12954 INVESCO EXCH TRADED FD TR II S&P 500 REVENUE 46138G698 16350 202679 SH SOLE NONE 0 0 202679 INVESCO EXCH TRADED FD TR II VAR RATE PFD 46138G870 1540 63030 SH SOLE NONE 0 0 63030 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 2290 14520 SH SOLE NONE 0 0 14520 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 46137V613 25755 150738 SH SOLE NONE 0 0 150738 INVESCO QQQ TR UNIT SER 1 46090E103 832 2294 SH SOLE NONE 0 0 2294 ISHARES INC MSCI GBL MIN VOL 464286525 234 2231 SH SOLE NONE 0 0 2231 ISHARES INC CORE MSCI EMKT 46434G103 3755 67599 SH SOLE NONE 0 0 67599 ISHARES TR S&P 100 ETF 464287101 1425 6835 SH SOLE NONE 0 0 6835 ISHARES TR CORE S&P TTL STK 464287150 797 7898 SH SOLE NONE 0 0 7898 ISHARES TR SELECT DIVID ETF 464287168 4089 31913 SH SOLE NONE 0 0 31913 ISHARES TR TIPS BD ETF 464287176 1696 13614 SH SOLE NONE 0 0 13614 ISHARES TR CORE S&P500 ETF 464287200 208884 460411 SH SOLE NONE 0 0 460411 ISHARES TR MSCI EMG MKT ETF 464287234 564 12483 SH SOLE NONE 0 0 12483 ISHARES TR S&P 500 VAL ETF 464287408 372 2389 SH SOLE NONE 0 0 2389 ISHARES TR 1 3 YR TREAS BD 464287457 2369 28428 SH SOLE NONE 0 0 28428 ISHARES TR MSCI EAFE ETF 464287465 2303 31296 SH SOLE NONE 0 0 31296 ISHARES TR RUS MID CAP ETF 464287499 758 9715 SH SOLE NONE 0 0 9715 ISHARES TR CORE S&P MCP ETF 464287507 56661 211152 SH SOLE NONE 0 0 211152 ISHARES TR ISHARES SEMICDTR 464287523 2082 4400 SH SOLE NONE 0 0 4400 ISHARES TR COHEN STEER REIT 464287564 288 4052 SH SOLE NONE 0 0 4052 ISHARES TR RUS 1000 VAL ETF 464287598 575 3463 SH SOLE NONE 0 0 3463 ISHARES TR S&P MC 400GR ETF 464287606 211 2732 SH SOLE NONE 0 0 2732 ISHARES TR RUS 1000 GRW ETF 464287614 546 1968 SH SOLE NONE 0 0 1968 ISHARES TR RUS 1000 ETF 464287622 5135 20533 SH SOLE NONE 0 0 20533 ISHARES TR RUS 2000 VAL ETF 464287630 2020 12516 SH SOLE NONE 0 0 12516 ISHARES TR RUS 2000 GRW ETF 464287648 209 819 SH SOLE NONE 0 0 819 ISHARES TR RUSSELL 2000 ETF 464287655 6489 31613 SH SOLE NONE 0 0 31613 ISHARES TR CORE S&P SCP ETF 464287804 43741 405457 SH SOLE NONE 0 0 405457 ISHARES TR EAFE SML CP ETF 464288273 814 12276 SH SOLE NONE 0 0 12276 ISHARES TR MSCI USA ESG SLC 464288802 212 2194 SH SOLE NONE 0 0 2194 ISHARES TR CORE HIGH DV ETF 46429B663 2059 19264 SH SOLE NONE 0 0 19264 ISHARES TR MSCI EAFE MIN VL 46429B689 12365 171406 SH SOLE NONE 0 0 171406 ISHARES TR MSCI USA MIN VOL 46429B697 37523 483733 SH SOLE NONE 0 0 483733 ISHARES TR CORE MSCI TOTAL 46432F834 997 14969 SH SOLE NONE 0 0 14969 ISHARES TR CORE MSCI EAFE 46432F842 12367 177918 SH SOLE NONE 0 0 177918 ISHARES TR IBONDS DEC2023 46435G318 207 8140 SH SOLE NONE 0 0 8140 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 15901 320784 SH SOLE NONE 0 0 320784 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 26985 532878 SH SOLE NONE 0 0 532878 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 81476 1620776 SH SOLE NONE 0 0 1620776 JACOBS ENGR GROUP INC COM 469814107 399 2892 SH SOLE NONE 0 0 2892 JOHNSON JOHNSON COM 478160104 3147 17761 SH SOLE NONE 0 0 17761 JPMORGAN CHASE CO COM 46625H100 1825 13392 SH SOLE NONE 0 0 13392 KRANESHARES TR GLOBAL CARB STRA 500767678 519 11124 SH SOLE NONE 0 0 11124 L3HARRIS TECHNOLOGIES INC COM 502431109 450 1811 SH SOLE NONE 0 0 1811 LILLY ELI CO COM 532457108 312 1089 SH SOLE NONE 0 0 1089 LOCKHEED MARTIN CORP COM 539830109 751 1703 SH SOLE NONE 0 0 1703 MASTERCARD INCORPORATED CL A 57636Q104 2480 6938 SH SOLE NONE 0 0 6938 MCDONALDS CORP COM 580135101 635 2568 SH SOLE NONE 0 0 2568 MERCK CO INC COM 58933Y105 1322 16115 SH SOLE NONE 0 0 16115 META PLATFORMS INC CL A 30303M102 827 3719 SH SOLE NONE 0 0 3719 MICROSOFT CORP COM 594918104 7728 25068 SH SOLE NONE 0 0 25068 MONDELEZ INTL INC CL A 609207105 232 3687 SH SOLE NONE 0 0 3687 NATURA CO HLDG S A ADS 63884N108 480 44000 SH SOLE NONE 0 0 44000 NETFLIX INC COM 64110L106 279 743 SH SOLE NONE 0 0 743 NEXTERA ENERGY INC COM 65339F101 715 8439 SH SOLE NONE 0 0 8439 NUVEEN FLOATING RATE INCOME COM SHS 6706EN100 158 15550 SH SOLE NONE 0 0 15550 NVIDIA CORPORATION COM 67066G104 310 1137 SH SOLE NONE 0 0 1137 ORACLE CORP COM 68389X105 622 7528 SH SOLE NONE 0 0 7528 OREILLY AUTOMOTIVE INC COM 67103H107 576 841 SH SOLE NONE 0 0 841 PEPSICO INC COM 713448108 775 4628 SH SOLE NONE 0 0 4628 PFIZER INC COM 717081103 690 13341 SH SOLE NONE 0 0 13341 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 2808 28033 SH SOLE NONE 0 0 28033 PJT PARTNERS INC COM CL A 69343T107 26096 413439 SH SOLE NONE 0 0 413439 PPG INDS INC COM 693506107 418 3189 SH SOLE NONE 0 0 3189 PROCTER AND GAMBLE CO COM 742718109 1314 8600 SH SOLE NONE 0 0 8600 QUALCOMM INC COM 747525103 246 1610 SH SOLE NONE 0 0 1610 ROSS STORES INC COM 778296103 630 6968 SH SOLE NONE 0 0 6968 ROYAL BK CDA COM 780087102 631 5726 SH SOLE NONE 0 0 5726 SALESFORCE COM INC COM 79466L302 255 1200 SH SOLE NONE 0 0 1200 SCHWAB CHARLES CORP COM 808513105 305 3617 SH SOLE NONE 0 0 3617 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 249 4664 SH SOLE NONE 0 0 4664 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 430 5747 SH SOLE NONE 0 0 5747 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 481 6741 SH SOLE NONE 0 0 6741 SCHWAB STRATEGIC TR SCHWB FDT INT SC 808524748 228 6450 SH SOLE NONE 0 0 6450 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 218 2764 SH SOLE NONE 0 0 2764 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1217 33146 SH SOLE NONE 0 0 33146 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 465 2928 SH SOLE NONE 0 0 2928 SMUCKER J M CO COM NEW 832696405 237 1750 SH SOLE NONE 0 0 1750 SOUTHERN CO COM 842587107 395 5454 SH SOLE NONE 0 0 5454 SPDR GOLD TR GOLD SHS 78463V107 315 1743 SH SOLE NONE 0 0 1743 SPDR SP 500 ETF TR TR UNIT 78462F103 58389 129281 SH SOLE NONE 0 0 129281 SPDR SP MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 22034 44927 SH SOLE NONE 0 0 44927 SPDR SER TR S&P 600 SMCP GRW 78464A201 13828 164959 SH SOLE NONE 0 0 164959 SPDR SER TR S&P 600 SMCP VAL 78464A300 20872 250472 SH SOLE NONE 0 0 250472 SPDR SER TR PRTFLO S&P500 GW 78464A409 36965 558297 SH SOLE NONE 0 0 558297 SPDR SER TR FTSE INT GVT ETF 78464A490 298 5521 SH SOLE NONE 0 0 5521 SPDR SER TR PRTFLO S&P500 VL 78464A508 36580 876174 SH SOLE NONE 0 0 876174 SPDR SER TR S&P DIVID ETF 78464A763 28567 222984 SH SOLE NONE 0 0 222984 SPDR SER TR S&P 400 MDCP GRW 78464A821 21385 288166 SH SOLE NONE 0 0 288166 SPDR SER TR S&P 400 MDCP VAL 78464A839 24316 345505 SH SOLE NONE 0 0 345505 STRYKER CORPORATION COM 863667101 566 2117 SH SOLE NONE 0 0 2117 SYSCO CORP COM 871829107 748 9160 SH SOLE NONE 0 0 9160 TESLA INC COM 88160R101 551 511 SH SOLE NONE 0 0 511 TEXAS INSTRS INC COM 882508104 213 1162 SH SOLE NONE 0 0 1162 THERMO FISHER SCIENTIFIC INC COM 883556102 211 358 SH SOLE NONE 0 0 358 TJX COS INC NEW COM 872540109 751 12403 SH SOLE NONE 0 0 12403 TRUIST FINL CORP COM 89832Q109 251 4434 SH SOLE NONE 0 0 4434 TYSON FOODS INC CL A 902494103 295 3294 SH SOLE NONE 0 0 3294 UNION PAC CORP COM 907818108 622 2278 SH SOLE NONE 0 0 2278 UNITED BANKSHARES INC WEST V COM 909907107 718 20587 SH SOLE NONE 0 0 20587 UNITEDHEALTH GROUP INC COM 91324P102 478 937 SH SOLE NONE 0 0 937 UPHEALTH INC COM 91532B101 24 20000 SH SOLE NONE 0 0 20000 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 1083 5467 SH SOLE NONE 0 0 5467 VANGUARD ADMIRAL FDS INC MIDCP 400 IDX 921932885 1353 7441 SH SOLE NONE 0 0 7441 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 500 6420 SH SOLE NONE 0 0 6420 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3729 8983 SH SOLE NONE 0 0 8983 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 447 2987 SH SOLE NONE 0 0 2987 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 381 1712 SH SOLE NONE 0 0 1712 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 5949 54891 SH SOLE NONE 0 0 54891 VANGUARD INDEX FDS SML CP GRW ETF 922908595 310 1248 SH SOLE NONE 0 0 1248 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1154 6558 SH SOLE NONE 0 0 6558 VANGUARD INDEX FDS LARGE CAP ETF 922908637 370 1776 SH SOLE NONE 0 0 1776 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 572 3450 SH SOLE NONE 0 0 3450 VANGUARD INDEX FDS GROWTH ETF 922908736 794 2761 SH SOLE NONE 0 0 2761 VANGUARD INDEX FDS VALUE ETF 922908744 470 3181 SH SOLE NONE 0 0 3181 VANGUARD INDEX FDS SMALL CP ETF 922908751 1597 7513 SH SOLE NONE 0 0 7513 VANGUARD INDEX FDS TOTAL STK MKT 922908769 9214 40471 SH SOLE NONE 0 0 40471 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 230 4425 SH SOLE NONE 0 0 4425 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 594 4796 SH SOLE NONE 0 0 4796 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 2307 40059 SH SOLE NONE 0 0 40059 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3075 66651 SH SOLE NONE 0 0 66651 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 353 5662 SH SOLE NONE 0 0 5662 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 61810 1206995 SH SOLE NONE 0 0 1206995 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 865 5340 SH SOLE NONE 0 0 5340 VANGUARD STAR FDS VG TL INTL STK F 921909768 397 6639 SH SOLE NONE 0 0 6639 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 16464 342795 SH SOLE NONE 0 0 342795 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 958 8538 SH SOLE NONE 0 0 8538 VERIZON COMMUNICATIONS INC COM 92343V104 432 8471 SH SOLE NONE 0 0 8471 VISA INC COM CL A 92826C839 433 1955 SH SOLE NONE 0 0 1955 WALGREENS BOOTS ALLIANCE INC COM 931427108 348 7776 SH SOLE NONE 0 0 7776 WALMART INC COM 931142103 307 2059 SH SOLE NONE 0 0 2059 WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 453 17750 SH SOLE NONE 0 0 17750 WESTERN ASSET EMERGING MKTS COM 95766A101 167 15581 SH SOLE NONE 0 0 15581 WISDOMTREE TR EMER MKT HIGH FD 97717W315 430 9830 SH SOLE NONE 0 0 9830 WISDOMTREE TR CBOE S&P 500 97717X560 516 14685 SH SOLE NONE 0 0 14685 WISDOMTREE TR US QTLY DIV GRT 97717X669 331 5191 SH SOLE NONE 0 0 5191 WORLD GOLD TR SPDR GLD MINIS 98149E303 553 14381 SH SOLE NONE 0 0 14381