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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
TY icon
301
TRI-Continental Corp
TY
$1.84B
– –
-1,000
Closed -$21K
UA icon
302
Under Armour Class C
UA
$2.95B
– –
-859
Closed -$29K
UAA icon
303
Under Armour
UAA
$3.01B
– –
-854
Closed -$33K
UL icon
304
Unilever
UL
$142B
– –
-412
Closed -$22K
UNH icon
305
UnitedHealth
UNH
$382B
– –
-185
Closed -$26K
UNP icon
306
Union Pacific
UNP
$174B
– –
-200
Closed -$20K
UPS icon
307
United Parcel Service
UPS
$88.9B
– –
-854
Closed -$93K
USO icon
308
United States Oil Fund
USO
$2.15B
– –
-150
Closed -$13K
UTF icon
309
Cohen & Steers Infrastructure Fund
UTF
$3.09B
– –
-1,500
Closed -$32K
V icon
310
Visa
V
$677B
– –
-1,152
Closed -$95K
VGK icon
311
Vanguard FTSE Europe ETF
VGK
$30.1B
– –
-350
Closed -$17K
VHT icon
312
Vanguard Health Care ETF
VHT
$18.5B
– –
-837
Closed -$111K
VLO icon
313
Valero Energy
VLO
$89.5B
– –
-600
Closed -$32K
VNQI icon
314
Vanguard Global ex-US Real Estate ETF
VNQI
$3.51B
– –
-4,000
Closed -$225K
VSS icon
315
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11B
– –
-5,665
Closed -$564K
VT icon
316
Vanguard Total World Stock ETF
VT
$75.3B
– –
-1,195
Closed -$73K
VTN icon
317
Invesco Trust for Investment Grade New York Municipals
VTN
$161M
– –
-300
Closed -$5K
VTR icon
318
Ventas
VTR
$47.5B
– –
-379
Closed -$27K
WFC icon
319
Wells Fargo
WFC
$254B
– –
-1,303
Closed -$58K
WMT icon
320
Walmart Inc
WMT
$909B
– –
-5,610
Closed -$135K
WTRG icon
321
Essential Utilities
WTRG
$11.5B
– –
-1,156
Closed -$35K
WTW icon
322
Willis Towers Watson
WTW
$29.8B
– –
-37
Closed -$5K
XEL icon
323
Xcel Energy
XEL
$49.2B
– –
-687
Closed -$28K
XLF icon
324
State Street Financial Select Sector SPDR ETF
XLF
$56.5B
– –
-142
Closed -$3K
XLK icon
325
State Street Technology Select Sector SPDR ETF
XLK
$109B
– –
-4,260
Closed -$102K
11 12
13
14 15

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G
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SCA
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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.