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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
GILD icon
301
Gilead Sciences
GILD
$162B
$10K ﹤0.01%
100
– –
MPC icon
302
Marathon Petroleum
MPC
$92.4B
$10K ﹤0.01%
200
– –
VXUS icon
303
Vanguard Total International Stock ETF
VXUS
$155B
$10K ﹤0.01%
230
– –
MNDT
304
DELISTED
Mandiant, Inc. Common Stock
MNDT
$10K ﹤0.01%
+500
New +$12.5K
HSBC.PRA
305
DELISTED
HSBC Holdings PLC, Inc. ADS(1/40 shr. 6.2% Non-Cum. Dlr. Pref. Shrs., Ser.A)
HSBC.PRA
$10K ﹤0.01%
375
– –
VIAB
306
DELISTED
Viacom Inc. Class B
VIAB
$10K ﹤0.01%
236
– –
RBS.PRS.CL
307
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$10K ﹤0.01%
400
– –
TYC
308
DELISTED
TYCO INTL PLC COM SHS (IRL)
TYC
$10K ﹤0.01%
298
– –
EXG icon
309
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.99B
$9K ﹤0.01%
+983
New +$8.82K
TEF
310
DELISTED
Telefonica
TEF
$9K ﹤0.01%
1,005
-1
-0.1% -$9
CDK
311
DELISTED
CDK Global, Inc.
CDK
$9K ﹤0.01%
189
– –
NUO
312
DELISTED
Nuveen Ohio Quality Municipal Income Fund
NUO
$9K ﹤0.01%
+559
New +$8.25K
BME icon
313
BlackRock Health Sciences Trust
BME
$562M
$8K ﹤0.01%
+200
New +$8.15K
CBU icon
314
Community Bank
CBU
$3.41B
$8K ﹤0.01%
200
– –
ING icon
315
ING
ING
$99.8B
$8K ﹤0.01%
+583
New +$8.24K
NTAP icon
316
NetApp
NTAP
$35B
$8K ﹤0.01%
290
– –
SJM icon
317
J.M. Smucker
SJM
$12.7B
$8K ﹤0.01%
68
-1
-1% -$119
TRMB icon
318
Trimble
TRMB
$13.2B
$8K ﹤0.01%
370
– –
ACG
319
DELISTED
AllianceBernstein Income Fund Inc
ACG
$8K ﹤0.01%
+1,016
New +$7.99K
NQI
320
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$8K ﹤0.01%
+600
New +$7.89K
GBX icon
321
The Greenbrier Companies
GBX
$1.52B
$7K ﹤0.01%
200
– –
SPH icon
322
Suburban Propane Partners
SPH
$1.24B
$7K ﹤0.01%
300
– –
DD
323
DELISTED
Du Pont De Nemours E I
DD
$7K ﹤0.01%
100
– –
ADT
324
DELISTED
ADT Corp
ADT
$7K ﹤0.01%
216
– –
AEP icon
325
American Electric Power
AEP
$69.6B
$6K ﹤0.01%
100
– –
11 12
13
14 15

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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.