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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
+3.15%
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
$329M
AUM Growth
-$2.49M
Cap. Flow
-$12.2M
Cap. Flow %
-3.71%
Top 10 Hldgs %
68.42%
Holding
378
New
4
Increased
19
Reduced
44
Closed
281

Top Buys

Rank Stock Value
1
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$20.2M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$3.95M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$2.58M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$1.7M
5
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$1.58M

Top Sells

Rank Stock Value
1
MLPN
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
+$15.8M
2
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$4.85M
3
TIP icon
iShares TIPS Bond ETF
TIP
+$2.3M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.77M
5
VTI icon
Vanguard Morningstar Total Stock Market ETF
VTI
+$1.66M

Sector Composition

Rank Sector Weight
1 Financials 3.29%
2 Energy 0.58%
3 Healthcare 0.47%
4 Consumer Staples 0.43%
5 Industrials 0.42%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PCEF icon
251
Invesco CEF Income Composite ETF
PCEF
$797M
– –
-615
Closed -$14K
PCF
252
High Income Securities Fund
PCF
$99.2M
– –
-767
Closed -$6K
PCY icon
253
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.38B
– –
-176
Closed -$5K
PEG icon
254
Public Service Enterprise Group
PEG
$38.6B
– –
-484
Closed -$20K
IFLN
255
Invesco Bloomberg Enhanced Fallen Angels ETF
IFLN
$308M
– –
-2,840
Closed -$54K
PKB icon
256
Invesco Building & Construction ETF
PKB
$428M
– –
-2,000
Closed -$52K
PML
257
PIMCO Municipal Income Fund II
PML
$485M
– –
-500
Closed -$7K
PMM
258
Franklin Managed Municipal Income Trust
PMM
$269M
– –
-1,521
Closed -$12K
PNR icon
259
Pentair
PNR
$10.6B
– –
-153
Closed -$7K
PPL
260
PPL Corp
PPL
$26.8B
– –
-945
Closed -$33K
PRFZ icon
261
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.77B
– –
-2,175
Closed -$46K
PRU icon
262
Prudential Financial
PRU
$42.6B
– –
-175
Closed -$14K
PSX icon
263
Phillips 66
PSX
$84.4B
– –
-600
Closed -$48K
PYPL icon
264
PayPal
PYPL
$49.3B
– –
-625
Closed -$26K
QAI icon
265
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.01B
– –
-5,340
Closed -$156K
QCOM icon
266
Qualcomm
QCOM
$160B
– –
-1,958
Closed -$134K
QQQ icon
267
Invesco QQQ Trust
QQQ
$450B
– –
-1,314
Closed -$156K
QRVO icon
268
Qorvo
QRVO
$8.01B
– –
-375
Closed -$21K
RNP icon
269
Cohen & Steers REIT and Preferred and Income Fund
RNP
$988M
– –
-1,500
Closed -$30K
ROP icon
270
Roper Technologies
ROP
$38.5B
– –
-130
Closed -$24K
RTX icon
271
RTX Corp
RTX
$289B
– –
-218
Closed -$14K
SAFE
272
Safehold
SAFE
$1.13B
– –
-446
Closed -$23K
SAN icon
273
Banco Santander
SAN
$202B
– –
-360
Closed -$2K
SBUX icon
274
Starbucks
SBUX
$121B
– –
-599
Closed -$32K
SCI icon
275
Service Corp International
SCI
$11.8B
– –
-2,453
Closed -$65K
9 10
11
12 13

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HFM
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EC
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G
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SCA
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BAM
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Klingman & Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Klingman & Associates held 378 positions worth $329M, down 0.75% from $332M the previous quarter. Its ten largest holdings account for 68% of the portfolio.

Klingman & Associates withdrew a net $12.2M in Q4 2016, closing 281 positions and reducing 44 holdings. Its most notable exit was Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020, an estimated $15.8M position sold in full.

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

Against the trend, Klingman & Associates opened a new position in UBS E-TRACS Alerian MLP Infrastructure ETN worth $21.1M.

  • Klingman & Associates's largest Q4 2016 buy was UBS E-TRACS Alerian MLP Infrastructure ETN: 742,074 shares worth $21.1M.
  • Klingman & Associates added most to iShares Core S&P Mid-Cap ETF in Q4 2016, an estimated $3.95M increase.
  • Klingman & Associates's biggest Q4 2016 reduction was iShares TIPS Bond ETF, cutting an estimated $2.3M.
  • Klingman & Associates fully exited Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020 in Q4 2016, selling an estimated $15.8M.
  • Klingman & Associates's ten largest holdings make up 68% of its $329M portfolio in Q4 2016.
  • Klingman & Associates opened 4 new positions and closed 281 in Q4 2016.
  • Klingman & Associates's portfolio value fell 0.75% quarter-over-quarter to $329M.

Based on Klingman & Associates's 13F filing for Q4 2016, filed 26 Jan 2017.