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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
NSH
251
DELISTED
NuStar GP Holdings LLC
NSH
$24K 0.01%
925
+325
+54% +$10.5K
HIO
252
Western Asset High Income Opportunity Fund
HIO
$336M
– –
-5,062
Closed -$24.7K
PRFZ icon
253
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.77B
$23K 0.01%
1,275
– –
DUK icon
254
Duke Energy
DUK
$97.8B
$22K 0.01%
311
– –
SNY icon
255
Sanofi
SNY
$103B
$22K 0.01%
464
– –
ASNA
256
DELISTED
Ascena Retail Group, Inc.
ASNA
$22K 0.01%
80
– –
GAM
257
General American Investors Company
GAM
$1.56B
– –
-679
Closed -$22.6K
KDP icon
258
Keurig Dr Pepper
KDP
$42.3B
$21K 0.01%
278
-132
-32% -$10.3K
NSC icon
259
Norfolk Southern
NSC
$75.4B
$21K 0.01%
285
– –
DBA icon
260
Invesco DB Agriculture Fund
DBA
$1.23B
$20K 0.01%
1,000
– –
IDXX icon
261
Idexx Laboratories
IDXX
$44.1B
$20K 0.01%
280
– –
MBB icon
262
iShares MBS ETF
MBB
$38.9B
$20K 0.01%
185
– –
ROP icon
263
Roper Technologies
ROP
$38.8B
$20K 0.01%
130
– –
WBC
264
DELISTED
WABCO HOLDINGS INC.
WBC
$20K 0.01%
200
– –
BAX icon
265
Baxter International
BAX
$13.5B
$19K 0.01%
589
-495
-46% -$18.7K
KMI icon
266
Kinder Morgan
KMI
$71.7B
$19K 0.01%
705
– –
TY icon
267
TRI-Continental Corp
TY
$1.86B
$19K 0.01%
+1,000
New +$20.6K
BCE icon
268
BCE
BCE
$20.2B
$18K 0.01%
444
– –
HYT icon
269
BlackRock Corporate High Yield Fund
HYT
$1.36B
– –
-1,911
Closed -$19.7K
MCN
270
Madison Covered Call & Equity Strategy Fund
MCN
$118M
– –
-2,556
Closed -$19.6K
UL icon
271
Unilever
UL
$137B
$18K 0.01%
412
-728
-64% -$34.8K
ZBH icon
272
Zimmer Biomet
ZBH
$18.2B
$18K 0.01%
206
– –
STON
273
DELISTED
StoneMor Inc.
STON
$18K 0.01%
675
+475
+238% +$13.4K
BXLT
274
DELISTED
BAXALTA INC COM STK (DE)
BXLT
$18K 0.01%
+589
New +$20.3K
CEF icon
275
Sprott Physical Gold and Silver Trust
CEF
$7.4B
– –
-1,650
Closed -$17.9K
9 10
11
12 13

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CC
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HFM
Harvest Fund Management Beijing, China $2.35B AUM 49.85% 1-Year Est. Return
EC
EcoR1 Capital San Francisco, California $2.36B AUM 204.53% 1-Year Est. Return
G
GenTrust Miami, Florida $2.34B AUM 18.43% 1-Year Est. Return
MC
Moors & Cabot Boston, Massachusetts $2.34B AUM 30.42% 1-Year Est. Return
SCA
STALEY CAPITAL ADVISERS Pittsburgh, Pennsylvania $2.36B AUM 23.72% 1-Year Est. Return
BAM
Berkshire Asset Management Wilkes Barre, Pennsylvania $2.33B AUM 19.33% 1-Year Est. Return

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.