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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
NFJ
276
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.41B
– –
-1,400
Closed -$19.4K
UNP icon
277
Union Pacific
UNP
$174B
$17K 0.01%
200
– –
USO icon
278
United States Oil Fund
USO
$2.15B
$17K 0.01%
150
– –
LUMN icon
279
Lumen
LUMN
$6.57B
$16K 0.01%
664
+34
+5% +$941
MDLZ icon
280
Mondelez International
MDLZ
$79.5B
$16K 0.01%
404
– –
META icon
281
Meta Platforms (Facebook)
META
$1.42T
$16K 0.01%
182
-244
-57% -$22.4K
MMT
282
Aberdeen Multi-Market Income Fund
MMT
$236M
– –
0
– –
QRVO icon
283
Qorvo
QRVO
$7.99B
$16K 0.01%
375
– –
DAL icon
284
Delta Air Lines
DAL
$57.5B
$15K 0.01%
+340
New +$15.3K
IP icon
285
International Paper
IP
$21.6B
$15K 0.01%
422
– –
PSX icon
286
Phillips 66
PSX
$84.9B
$15K 0.01%
200
– –
BSV icon
287
Vanguard Short-Term Bond ETF
BSV
$44.7B
$14K 0.01%
186
– –
BXMT icon
288
Blackstone Mortgage Trust
BXMT
$2.45B
$14K 0.01%
+515
New +$14.7K
TCP
289
DELISTED
TC Pipelines LP
TCP
$14K 0.01%
309
– –
CSBK
290
DELISTED
Clifton Bancorp Inc.
CSBK
$14K 0.01%
1,077
– –
EVG
291
Eaton Vance Short Duration Diversified Income Fund
EVG
$141M
– –
-1,000
Closed -$13.7K
PRU icon
292
Prudential Financial
PRU
$42.4B
$13K 0.01%
175
– –
STRZA
293
DELISTED
Starz - Series A
STRZA
$13K 0.01%
350
– –
MFT
294
DELISTED
BLACKROCK MUNIYIELD INVESTMENT QUALITY FUND
MFT
– –
-1,000
Closed -$13.3K
FWONA icon
295
Liberty Media Series A
FWONA
$22.5B
$12K ﹤0.01%
521
– –
PCEF icon
296
Invesco CEF Income Composite ETF
PCEF
$801M
$12K ﹤0.01%
615
– –
RTX icon
297
RTX Corp
RTX
$290B
$12K ﹤0.01%
218
– –
FHY
298
DELISTED
First Trust Strategic High
FHY
– –
-1,125
Closed -$14K
KHC icon
299
Kraft Heinz
KHC
$30.7B
$11K ﹤0.01%
+168
New +$12.7K
NUV icon
300
Nuveen Municipal Value Fund
NUV
$1.92B
– –
-1,171
Closed -$11.4K
10 11
12
13 14

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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.