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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
BRS
351
DELISTED
Bristow Group, Inc.
BRS
– –
-36
Closed -$1K
USG
352
DELISTED
Usg
USG
– –
-2
Closed –
RBS.PRS.CL
353
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
– –
-400
Closed -$10K
ESRX
354
DELISTED
Express Scripts Holding Company
ESRX
– –
-434
Closed -$31K
PX
355
DELISTED
Praxair Inc
PX
– –
-70
Closed -$8K
PERY
356
DELISTED
Perry Ellis International Inc
PERY
– –
-19
Closed –
KYE
357
DELISTED
Kayne Anderson Energy
KYE
– –
-500
Closed -$6K
DD
358
DELISTED
Du Pont De Nemours E I
DD
– –
-100
Closed -$7K
YHOO
359
DELISTED
Yahoo Inc
YHOO
– –
-1,250
Closed -$54K
MJN
360
DELISTED
Mead Johnson Nutrition Company
MJN
– –
-511
Closed -$40K
SE
361
DELISTED
Spectra Energy Corp Wi
SE
– –
-1,357
Closed -$58K
CLNY
362
DELISTED
Colony Capital, Inc.
CLNY
– –
-1,230
Closed -$22K
FHY
363
DELISTED
First Trust Strategic High
FHY
– –
-1,125
Closed -$14K
EMD
364
DELISTED
Western Asset Emerging Markets
EMD
– –
-11,346
Closed -$131K
MFT
365
DELISTED
BLACKROCK MUNIYIELD INVESTMENT QUALITY FUND
MFT
– –
-1,000
Closed -$15K
BSCN
366
DELISTED
Invesco BulletShares 2023 Corporate Bond ETF
BSCN
– –
-4,890
Closed -$105K
BSCM
367
DELISTED
Invesco BulletShares 2022 Corporate Bond ETF
BSCM
– –
-8,460
Closed -$183K
BSCK
368
DELISTED
Invesco BulletShares 2020 Corporate Bond ETF
BSCK
– –
-5,000
Closed -$109K
NUO
369
DELISTED
Nuveen Ohio Quality Municipal Income Fund
NUO
– –
-559
Closed -$9K
FTR
370
DELISTED
Frontier Communications Corp.
FTR
– –
-28
Closed -$2K
CELG
371
DELISTED
Celgene Corp
CELG
– –
-300
Closed -$31K
NAVG
372
DELISTED
Navigators Group Inc
NAVG
– –
-100
Closed -$5K
WR
373
DELISTED
Westar Energy Inc
WR
– –
-665
Closed -$38K
CSBK
374
DELISTED
Clifton Bancorp Inc.
CSBK
– –
-1,077
Closed -$16K
RTR
375
DELISTED
Oppenheimer ADR Revenue ETF
RTR
– –
-4,070
Closed -$132K
12 13 14
15
16

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HFM
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EC
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SCA
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BAM
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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.