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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
+2.99%
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
$267M
AUM Growth
+$12.5M
Cap. Flow
+$18.1M
Cap. Flow %
6.76%
Top 10 Hldgs %
57.96%
Holding
455
New
72
Increased
39
Reduced
52
Closed
49

Top Buys

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$12.1M
2
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$5.48M
3
TIP icon
iShares TIPS Bond ETF
TIP
+$3.75M
4
PJT icon
PJT Partners
PJT
+$3.66M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$2.02M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.81M
2
MLPN
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
+$3.25M
3
DBC icon
Invesco DB Commodity Index Tracking Fund
DBC
+$1.59M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$1.57M
5
VNQ icon
Vanguard Real Estate ETF
VNQ
+$1.3M

Sector Composition

Rank Sector Weight
1 Financials 5.76%
2 Energy 1.27%
3 Healthcare 1.18%
4 Technology 1.08%
5 Industrials 0.98%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SU icon
251
Suncor Energy
SU
$79.4B
$26K 0.01%
1,000
– –
ROP icon
252
Roper Technologies
ROP
$38.8B
$25K 0.01%
130
– –
SBAC icon
253
SBA Communications
SBAC
$19.2B
$25K 0.01%
239
– –
VO icon
254
Vanguard Morningstar Mid-Cap ETF
VO
$106B
$25K 0.01%
840
– –
XEL icon
255
Xcel Energy
XEL
$48.8B
$25K 0.01%
687
– –
BOND icon
256
PIMCO Active Bond Exchange-Traded Fund
BOND
$8.37B
$24K 0.01%
230
– –
HIO
257
Western Asset High Income Opportunity Fund
HIO
$336M
$24K 0.01%
+5,062
New +$23.7K
NSC icon
258
Norfolk Southern
NSC
$75.4B
$24K 0.01%
285
– –
NVS icon
259
Novartis
NVS
$297B
$24K 0.01%
311
– –
PRFZ icon
260
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.77B
$24K 0.01%
1,275
– –
BXLT
261
DELISTED
BAXALTA INC COM STK (DE)
BXLT
$23K 0.01%
589
– –
BAX icon
262
Baxter International
BAX
$13.5B
$22K 0.01%
589
– –
DUK icon
263
Duke Energy
DUK
$97.8B
$22K 0.01%
311
– –
GAM
264
General American Investors Company
GAM
$1.56B
$22K 0.01%
+679
New +$22K
ZBH icon
265
Zimmer Biomet
ZBH
$18.2B
$21K 0.01%
206
– –
IDXX icon
266
Idexx Laboratories
IDXX
$44.1B
$20K 0.01%
280
– –
MBB icon
267
iShares MBS ETF
MBB
$38.9B
$20K 0.01%
185
– –
TY icon
268
TRI-Continental Corp
TY
$1.86B
$20K 0.01%
1,000
– –
UL icon
269
Unilever
UL
$137B
$20K 0.01%
412
– –
WBC
270
DELISTED
WABCO HOLDINGS INC.
WBC
$20K 0.01%
200
– –
HYT icon
271
BlackRock Corporate High Yield Fund
HYT
$1.36B
$19K 0.01%
+1,911
New +$19.2K
MCN
272
Madison Covered Call & Equity Strategy Fund
MCN
$118M
$19K 0.01%
+2,556
New +$19.4K
QRVO icon
273
Qorvo
QRVO
$7.99B
$19K 0.01%
375
– –
MDLZ icon
274
Mondelez International
MDLZ
$79.5B
$18K 0.01%
404
– –
BCE icon
275
BCE
BCE
$20.2B
$17K 0.01%
444
– –
9 10
11
12 13

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HFM
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SCA
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BAM
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Klingman & Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Klingman & Associates held 455 positions worth $267M, up 4.9% from $255M the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Klingman & Associates deployed $18.1M of net new capital in Q4 2015, opening 72 new positions and adding to 39 existing holdings. Its largest new stake was ClearBridge MLP and Midstream Fund Inc.: 62,162 shares worth $4.72M.

By sector, the portfolio is most concentrated in Financials at 5.8% of assets, up from 3.3% a quarter earlier, followed by Energy and Healthcare.

On the sell side, the largest reduction was iShares Core S&P 500 ETF, an estimated $6.81M trimmed.

  • Klingman & Associates's largest Q4 2015 buy was ClearBridge MLP and Midstream Fund Inc.: 62,162 shares worth $4.72M.
  • Klingman & Associates added most to JP Morgan Alerian MLP Index ETN 5/24/24 in Q4 2015, an estimated $12.1M increase.
  • Klingman & Associates's biggest Q4 2015 reduction was iShares Core S&P 500 ETF, cutting an estimated $6.81M.
  • Klingman & Associates fully exited PIMCO Enhanced Short Maturity Active Exchange-Traded Fund in Q4 2015, selling an estimated $693K.
  • Klingman & Associates's ten largest holdings make up 58% of its $267M portfolio in Q4 2015.
  • Klingman & Associates opened 72 new positions and closed 49 in Q4 2015.
  • Klingman & Associates's portfolio value rose 4.9% quarter-over-quarter to $267M.

Based on Klingman & Associates's 13F filing for Q4 2015, filed 9 Feb 2016.