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KA

Klingman & Associates Portfolio holdings

AUM $2.35B
1-Year Est. Return 23.18%
This Fund
S&P 500
This Quarter Est. Return
-9.61%
1 Year Est. Return
+23.18%
3 Year Est. Return
+59.34%
5 Year Est. Return
+62.44%
10 Year Est. Return
+178.86%
AUM
$255M
AUM Growth
+$812K
Cap. Flow
+$15.2M
Cap. Flow %
5.97%
Top 10 Hldgs %
58.86%
Holding
476
New
60
Increased
53
Reduced
54
Closed
89

Top Buys

Rank Stock Value
1
RWL icon
Invesco S&P 500 Revenue ETF
RWL
+$4.87M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$2.56M
3
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$1.84M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$1.37M
5
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$1.28M

Top Sells

Rank Stock Value
1
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$5.09M
2
FCT
First Trust Senior Floating Rate Income Fund II
FCT
+$1.81M
3
FRA icon
BlackRock Floating Rate Income Strategies Fund
FRA
+$1.24M
4
CHY
Calamos Convertible and High Income Fund
CHY
+$726K
5
EMD
Western Asset Emerging Markets Debt Fund
EMD
+$664K

Sector Composition

Rank Sector Weight
1 Financials 3.34%
2 Energy 1.35%
3 Healthcare 1.26%
4 Technology 1.09%
5 Communication Services 0.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KO icon
226
Coca-Cola
KO
$377B
$34K 0.01%
869
– –
DFE icon
227
WisdomTree Europe SmallCap Dividend Fund
DFE
$166M
$33K 0.01%
622
– –
HYS icon
228
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
$33K 0.01%
359
– –
FUN icon
229
Cedar Fair
FUN
$1.77B
$32K 0.01%
625
+175
+39% +$9.5K
HME
230
DELISTED
HOME PROPERTIES, INC
HME
$31K 0.01%
425
– –
MPWR icon
231
Monolithic Power Systems
MPWR
$70.1B
$30K 0.01%
599
– –
NLY icon
232
Annaly Capital Management
NLY
$17.1B
$30K 0.01%
770
– –
CNC icon
233
Centene
CNC
$30.7B
$29K 0.01%
1,076
– –
ETV
234
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.71B
– –
-2,100
Closed -$31K
UTF icon
235
Cohen & Steers Infrastructure Fund
UTF
$3.11B
– –
-1,500
Closed -$30.4K
GLO
236
Clough Global Opportunities Fund
GLO
$250M
– –
-2,538
Closed -$29.8K
MCK icon
237
McKesson
MCK
$100B
$27K 0.01%
150
– –
JTD
238
DELISTED
NUVEEN TAX-ADVANTAGE DIVIDEND GROWTH FUND
JTD
– –
-2,039
Closed -$30.5K
CAT icon
239
Caterpillar
CAT
$375B
$26K 0.01%
400
– –
GSK icon
240
GSK
GSK
$104B
$26K 0.01%
560
– –
SU icon
241
Suncor Energy
SU
$79.4B
$26K 0.01%
1,000
– –
NVS icon
242
Novartis
NVS
$297B
$25K 0.01%
311
– –
RNP icon
243
Cohen & Steers REIT and Preferred and Income Fund
RNP
$982M
– –
-1,500
Closed -$26.4K
SBAC icon
244
SBA Communications
SBAC
$19.2B
$25K 0.01%
239
– –
TEL icon
245
TE Connectivity
TEL
$59.6B
$25K 0.01%
434
– –
WR
246
DELISTED
Westar Energy Inc
WR
$25K 0.01%
665
– –
BOND icon
247
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.37B
$24K 0.01%
230
– –
TXN icon
248
Texas Instruments
TXN
$252B
$24K 0.01%
500
– –
VO icon
249
Vanguard Morningstar Mid-Cap ETF
VO
$106B
$24K 0.01%
840
– –
XEL icon
250
Xcel Energy
XEL
$48.8B
$24K 0.01%
687
– –
8 9
10
11 12

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HFM
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EC
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G
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MC
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SCA
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BAM
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Klingman & Associates's Q3 2015 Portfolio in Review

As of Q3 2015, Klingman & Associates held 476 positions worth $255M, up 0.32% from $254M the previous quarter. Its ten largest holdings account for 59% of the portfolio.

Klingman & Associates deployed $15.2M of net new capital in Q3 2015, opening 60 new positions and adding to 53 existing holdings. Its largest new stake was Invesco S&P 500 Revenue ETF: 122,429 shares worth $4.61M.

By sector, the portfolio is most concentrated in Financials at 3.3% of assets, up from 3.2% a quarter earlier, followed by Energy and Healthcare.

On the sell side, the largest reduction was Xtrackers MSCI EAFE Hedged Equity ETF, an estimated $290K trimmed.

  • Klingman & Associates's largest Q3 2015 buy was Invesco S&P 500 Revenue ETF: 122,429 shares worth $4.61M.
  • Klingman & Associates added most to iShares Core S&P 500 ETF in Q3 2015, an estimated $2.56M increase.
  • Klingman & Associates's biggest Q3 2015 reduction was Xtrackers MSCI EAFE Hedged Equity ETF, cutting an estimated $290K.
  • Klingman & Associates fully exited ClearBridge MLP and Midstream Fund Inc. in Q3 2015, selling an estimated $5.09M.
  • Klingman & Associates's ten largest holdings make up 59% of its $255M portfolio in Q3 2015.
  • Klingman & Associates opened 60 new positions and closed 89 in Q3 2015.
  • Klingman & Associates's portfolio value rose 0.32% quarter-over-quarter to $255M.

Based on Klingman & Associates's 13F filing for Q3 2015, filed 9 Feb 2016.