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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
BIP icon
326
Brookfield Infrastructure Partners
BIP
$19.2B
$8K ﹤0.01%
+567
New +$9.16K
EXG icon
327
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.99B
– –
-983
Closed -$9.25K
LBRDK icon
328
Liberty Broadband Class C
LBRDK
$4.88B
$8K ﹤0.01%
175
– –
NTAP icon
329
NetApp
NTAP
$35B
$8K ﹤0.01%
290
– –
PNNT
330
Pennant Park Investment Corp
PNNT
$215M
$8K ﹤0.01%
+1,325
New +$10.2K
AGN.PRA
331
DELISTED
Allergan plc
AGN.PRA
– –
0
– –
RAI
332
DELISTED
Reynolds American Inc
RAI
$8K ﹤0.01%
+200
New +$8.29K
NUO
333
DELISTED
Nuveen Ohio Quality Municipal Income Fund
NUO
– –
-559
Closed -$8.06K
ETP
334
DELISTED
Energy Transfer Partners L.p.
ETP
$8K ﹤0.01%
200
-566
-74% -$27.4K
BME icon
335
BlackRock Health Sciences Trust
BME
$562M
– –
-200
Closed -$8.84K
CBU icon
336
Community Bank
CBU
$3.41B
$7K ﹤0.01%
200
– –
MMLP icon
337
Martin Midstream Partners
MMLP
$95.5M
$7K ﹤0.01%
+325
New +$9.31K
NMFC icon
338
New Mountain Finance
NMFC
$651M
$7K ﹤0.01%
+525
New +$7.64K
SJM icon
339
J.M. Smucker
SJM
$12.7B
$7K ﹤0.01%
69
– –
PRKS icon
340
United Parks & Resorts
PRKS
$2.1B
$7K ﹤0.01%
+425
New +$7.66K
MIC
341
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$7K ﹤0.01%
+100
New +$7.98K
VTTI
342
DELISTED
VTTI Energy Partners LP
VTTI
– –
0
– –
RBS.PRT
343
DELISTED
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
$7K ﹤0.01%
+300
New +$7.63K
ACG
344
DELISTED
AllianceBernstein Income Fund Inc
ACG
– –
-1,016
Closed -$7.87K
NQI
345
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
– –
-600
Closed -$7.68K
AMLP icon
346
Alerian MLP ETF
AMLP
$13B
$6K ﹤0.01%
100
– –
EZU icon
347
iShare MSCI Eurozone ETF
EZU
$9.64B
$6K ﹤0.01%
185
– –
GBX icon
348
The Greenbrier Companies
GBX
$1.52B
$6K ﹤0.01%
200
– –
LMT icon
349
Lockheed Martin
LMT
$134B
$6K ﹤0.01%
30
-23
-43% -$4.68K
PML
350
PIMCO Municipal Income Fund II
PML
$485M
– –
-500
Closed -$5.92K
12 13
14
15 16

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HFM
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SCA
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BAM
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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.