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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
+2.72%
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
$332M
AUM Growth
+$22.8M
Cap. Flow
+$14.8M
Cap. Flow %
4.46%
Top 10 Hldgs %
63.36%
Holding
408
New
19
Increased
50
Reduced
52
Closed
31

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$3.85M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$3.77M
3
NEAR icon
iShares Short Maturity Bond ETF
NEAR
+$3.73M
4
VRP icon
Invesco Variable Rate Preferred ETF
VRP
+$1.48M
5
TIP icon
iShares TIPS Bond ETF
TIP
+$1.4M

Top Sells

Rank Stock Value
1
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$1.82M
2
RY icon
Royal Bank of Canada
RY
+$738K
3
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$508K
4
IDV icon
iShares International Select Dividend ETF
IDV
+$330K
5
VNQ icon
Vanguard Real Estate ETF
VNQ
+$320K

Sector Composition

Rank Sector Weight
1 Financials 3.32%
2 Healthcare 0.78%
3 Consumer Staples 0.75%
4 Technology 0.67%
5 Industrials 0.63%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EVG
276
Eaton Vance Short Duration Diversified Income Fund
EVG
$142M
$14K ﹤0.01%
1,000
– –
JCI icon
277
Johnson Controls International
JCI
$85.1B
$14K ﹤0.01%
+297
New +$13.8K
PCEF icon
278
Invesco CEF Income Composite ETF
PCEF
$788M
$14K ﹤0.01%
615
– –
PRU icon
279
Prudential Financial
PRU
$42.6B
$14K ﹤0.01%
175
– –
RTX icon
280
RTX Corp
RTX
$290B
$14K ﹤0.01%
218
– –
FHY
281
DELISTED
First Trust Strategic High
FHY
$14K ﹤0.01%
1,125
– –
BWX icon
282
State Street SPDR Bloomberg International Treasury Bond ETF
BWX
$1.31B
$13K ﹤0.01%
+468
New +$13.4K
BX icon
283
Blackstone
BX
$104B
$13K ﹤0.01%
500
– –
DAL icon
284
Delta Air Lines
DAL
$56.7B
$13K ﹤0.01%
340
– –
USO icon
285
United States Oil Fund
USO
$2.15B
$13K ﹤0.01%
150
– –
NUV icon
286
Nuveen Municipal Value Fund
NUV
$1.91B
$12K ﹤0.01%
1,171
– –
PMM
287
Franklin Managed Municipal Income Trust
PMM
$270M
$12K ﹤0.01%
1,521
– –
D icon
288
Dominion Energy
D
$62.1B
$11K ﹤0.01%
152
-1,148
-88% -$87.5K
FE icon
289
FirstEnergy
FE
$28.4B
$11K ﹤0.01%
333
– –
TRMB icon
290
Trimble
TRMB
$13.6B
$11K ﹤0.01%
370
– –
CDK
291
DELISTED
CDK Global, Inc.
CDK
$11K ﹤0.01%
189
– –
NTAP icon
292
NetApp
NTAP
$34B
$10K ﹤0.01%
290
– –
SPH icon
293
Suburban Propane Partners
SPH
$1.21B
$10K ﹤0.01%
300
– –
HSBC.PRA
294
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$10K ﹤0.01%
375
– –
RBS.PRS.CL
295
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$10K ﹤0.01%
400
– –
EXG icon
296
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.93B
$9K ﹤0.01%
983
– –
IEFA icon
297
iShares Core MSCI EAFE ETF
IEFA
$186B
$9K ﹤0.01%
163
– –
SJM icon
298
J.M. Smucker
SJM
$13.5B
$9K ﹤0.01%
68
– –
ASNA
299
DELISTED
Ascena Retail Group, Inc.
ASNA
$9K ﹤0.01%
80
– –
NUO
300
DELISTED
Nuveen Ohio Quality Municipal Income Fund
NUO
$9K ﹤0.01%
559
– –
10 11
12
13 14

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Klingman & Associates's Q3 2016 Portfolio in Review

As of Q3 2016, Klingman & Associates held 408 positions worth $332M, up 7.4% from $309M the previous quarter. Its ten largest holdings account for 63% of the portfolio.

Klingman & Associates deployed $14.8M of net new capital in Q3 2016, opening 19 new positions and adding to 50 existing holdings. Its largest new stake was PIMCO Enhanced Short Maturity Active Exchange-Traded Fund: 12,679 shares worth $1.29M.

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

On the sell side, the largest reduction was Royal Bank of Canada, an estimated $738K trimmed.

  • Klingman & Associates's largest Q3 2016 buy was PIMCO Enhanced Short Maturity Active Exchange-Traded Fund: 12,679 shares worth $1.29M.
  • Klingman & Associates added most to iShares Core S&P 500 ETF in Q3 2016, an estimated $3.85M increase.
  • Klingman & Associates's biggest Q3 2016 reduction was Royal Bank of Canada, cutting an estimated $738K.
  • Klingman & Associates fully exited iShares Preferred and Income Securities ETF in Q3 2016, selling an estimated $1.82M.
  • Klingman & Associates's ten largest holdings make up 63% of its $332M portfolio in Q3 2016.
  • Klingman & Associates opened 19 new positions and closed 31 in Q3 2016.
  • Klingman & Associates's portfolio value rose 7.4% quarter-over-quarter to $332M.

Based on Klingman & Associates's 13F filing for Q3 2016, filed 19 Oct 2016.