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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
MON
376
DELISTED
Monsanto Co
MON
$4K ﹤0.01%
49
– –
DD
377
DELISTED
Du Pont De Nemours E I
DD
$4K ﹤0.01%
100
-5
-5% -$267
TWC
378
DELISTED
TIME WARNER CABLE INC NEW COM STK
TWC
$4K ﹤0.01%
25
– –
BDX icon
379
Becton Dickinson
BDX
$45.6B
$3K ﹤0.01%
26
– –
ENB icon
380
Enbridge
ENB
$119B
$3K ﹤0.01%
100
– –
ES icon
381
Eversource Energy
ES
$26.9B
$3K ﹤0.01%
76
– –
HOPE icon
382
Hope Bancorp
HOPE
$1.79B
$3K ﹤0.01%
200
– –
TROW icon
383
T. Rowe Price
TROW
$23.9B
$3K ﹤0.01%
50
– –
VHC icon
384
VirnetX Holding Corp
VHC
$54.4M
$3K ﹤0.01%
50
– –
XLF icon
385
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
$3K ﹤0.01%
162
-8,175
-98% -$173K
MRO
386
DELISTED
Marathon Oil Corporation
MRO
$3K ﹤0.01%
200
– –
MNK
387
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$3K ﹤0.01%
54
– –
ALU
388
DELISTED
Alcatel-Lucent
ALU
$3K ﹤0.01%
976
– –
NAVG
389
DELISTED
Navigators Group Inc
NAVG
$3K ﹤0.01%
100
– –
CB
390
DELISTED
CHUBB CORPORATION
CB
$3K ﹤0.01%
25
– –
AAL icon
391
American Airlines Group
AAL
$10.1B
$2K ﹤0.01%
72
– –
AMT icon
392
American Tower
AMT
$80.8B
$2K ﹤0.01%
25
-293
-92% -$27.6K
EWT icon
393
iShares MSCI Taiwan ETF
EWT
$9.86B
$2K ﹤0.01%
93
– –
HPQ icon
394
HP
HPQ
$24.9B
$2K ﹤0.01%
+220
New +$2.86K
LTBR icon
395
Lightbridge
LTBR
$271M
$2K ﹤0.01%
55
– –
OZK icon
396
Bank OZK
OZK
$5.6B
$2K ﹤0.01%
60
– –
SHY icon
397
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$2K ﹤0.01%
35
– –
TOL icon
398
Toll Brothers
TOL
$13.6B
$2K ﹤0.01%
87
– –
S
399
DELISTED
Sprint Corporation
S
$2K ﹤0.01%
627
+130
+26% +$548
PX
400
DELISTED
Praxair Inc
PX
$2K ﹤0.01%
25
– –
14 15
16
17 18

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SCA
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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.