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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
BCE icon
301
BCE
BCE
$20.8B
$8K ﹤0.01%
183
-261
-59% -$12.4K
GILD icon
302
Gilead Sciences
GILD
$165B
$8K ﹤0.01%
100
– –
MPC icon
303
Marathon Petroleum
MPC
$90.1B
$8K ﹤0.01%
200
– –
TEF
304
DELISTED
Telefonica
TEF
$8K ﹤0.01%
1,005
– –
SINA
305
DELISTED
Sina Corp
SINA
$8K ﹤0.01%
115
– –
PX
306
DELISTED
Praxair Inc
PX
$8K ﹤0.01%
70
+45
+180% +$5.33K
AFL icon
307
Aflac
AFL
$65.5B
$7K ﹤0.01%
200
– –
BME icon
308
BlackRock Health Sciences Trust
BME
$569M
$7K ﹤0.01%
200
– –
IEMG icon
309
iShares Core MSCI Emerging Markets ETF
IEMG
$144B
$7K ﹤0.01%
152
– –
ING icon
310
ING
ING
$92.9B
$7K ﹤0.01%
583
– –
PML
311
PIMCO Municipal Income Fund II
PML
$487M
$7K ﹤0.01%
500
– –
PNR icon
312
Pentair
PNR
$10.6B
$7K ﹤0.01%
153
– –
TNXP icon
313
Tonix Pharmaceuticals
TNXP
$152M
– –
0
– –
TRGP icon
314
Targa Resources
TRGP
$56.8B
$7K ﹤0.01%
144
– –
DD
315
DELISTED
Du Pont De Nemours E I
DD
$7K ﹤0.01%
100
– –
AEP icon
316
American Electric Power
AEP
$70.4B
$6K ﹤0.01%
100
– –
AMLP icon
317
Alerian MLP ETF
AMLP
$12.9B
$6K ﹤0.01%
100
– –
CRM icon
318
Salesforce
CRM
$154B
$6K ﹤0.01%
80
– –
DIA icon
319
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45B
$6K ﹤0.01%
33
– –
ITB icon
320
iShares US Home Construction ETF
ITB
$2.32B
$6K ﹤0.01%
200
– –
PCF
321
High Income Securities Fund
PCF
$98.8M
$6K ﹤0.01%
767
– –
NXQ
322
DELISTED
NUVEEN ELECT TAX-FREE INC 2
NXQ
$6K ﹤0.01%
398
– –
KYE
323
DELISTED
Kayne Anderson Energy
KYE
$6K ﹤0.01%
500
– –
ATAXZ
324
DELISTED
AMERICA FIRST TAX EXEMT INV LP
ATAXZ
$6K ﹤0.01%
1,000
– –
CAG icon
325
Conagra Brands
CAG
$7.42B
$5K ﹤0.01%
149
– –
11 12
13
14 15

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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 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.