WINFIELD ASSOCIATES, INC.

HTTP://WWW.WINFIELDINC.COM CLEVELAND, OH Investment Advisor How do I update this listing?

Winfield Associates is based out of Cleveland. Winfield Associates is a large advisory firm with 201 clients and discretionary assets under management (AUM) of $212,343,031 (Form ADV from 2019-05-15). Their last reported 13F filing for Q3 2019 included $204,590,000 in managed 13F securities and a top 10 holdings concentration of 37.64%. Winfield Associates's largest holding is Amazon.com Inc. with shares held of 6,770. Winfield Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 24 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $204.59 Million
  • Prior Market Value $192.947 Million
  • New Purchases26 stocks
  • Additional Purchases51 stocks
  • Sold out of8 stocks
  • Reduced holdings in40 stocks
  • Top 10 Holdings % 37.64 %
  • Turnover % [1]:23.45%
  • Turnover Alt % [2]: 11.98 %
  • Time Held Top20:11.65 quarters
  • Time Held Top10:12.20 quarters
  • Time Held All:13.88 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -1.09%
Performance Last 4 Quarters: -2.01%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

WINFIELD ASSOCIATES INC
700 WEST ST CLAIR AVENUE SUITE 404
CLEVELAND OH    44113
Country: United States

Business Phone: 216-241-2575
Fax: 216-241-4774
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: OH
Number of employees: 7
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 61,910,100
Total Number of Clients: 201
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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WINFIELD ASSOCIATES INC

ownership team - last updated 2019-05-15
Name Title Start Date Direct/Indirect % Ownership
BAKER, WILLIAM, WINFIELD CHAIRMAN OF THE BOARD OF DIRECTORS 04/01/2019 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC PRESIDENT & CEO direct 1997-11-01
BAKER, CHRISTOPHER, WILLIAM PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, TREASURER, AND CHIEF COMPLIANCE OFFICER 04/01/2019 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER direct 1997-11-01
WINFIELD ASSOCIATES INC CHIEF FINANCIAL OFFICER direct 1997-11-01 2005-03-31
BAKER, THOMAS, WINFIELD SECRETARY 04/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC DIRECTOR direct 1997-11-01
HALEY, MARK, QUIEN EXECUTIVE VICE PRESIDENT 04/01/2019 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC VICE PRESIDENT direct 2015-07-01

WINFIELD ASSOCIATES INC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
BAKER, WILLIAM, WINFIELD PRESIDENT & CEO 11/01/1997 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC PRESIDENT & CEO direct 1997-11-01
BAKER, CHRISTOPHER, WILLIAM CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER 11/01/1997 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER direct 1997-11-01
WINFIELD ASSOCIATES INC CHIEF FINANCIAL OFFICER direct 1997-11-01 2005-03-31
BAKER, THOMAS, WINFIELD DIRECTOR 11/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC DIRECTOR direct 1997-11-01
HALEY, MARK, QUIEN VICE PRESIDENT 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC VICE PRESIDENT direct 2015-07-01

WINFIELD ASSOCIATES INC

ownership team - last updated 2017-03-14
Name Title Start Date Direct/Indirect % Ownership
BAKER, WILLIAM, WINFIELD PRESIDENT & CEO 11/01/1997 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC PRESIDENT & CEO direct 1997-11-01
BAKER, CHRISTOPHER, WILLIAM CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER 11/01/1997 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC CHIEF FINANCIAL OFFICER/ CHIEF COMPLIANCE OFFICER direct 1997-11-01
WINFIELD ASSOCIATES INC CHIEF FINANCIAL OFFICER direct 1997-11-01 2005-03-31
BAKER, THOMAS, WINFIELD DIRECTOR 11/01/1997 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC DIRECTOR direct 1997-11-01
HALEY, MARK, QUIEN VICE PRESIDENT 07/01/2015 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WINFIELD ASSOCIATES INC VICE PRESIDENT direct 2015-07-01

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