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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
FWONA icon
376
Liberty Media Series A
FWONA
$23.4B
$0 ﹤0.01%
13
– –
GBX icon
377
The Greenbrier Companies
GBX
$1.57B
– –
-200
Closed -$6K
GLD icon
378
SPDR Gold Trust
GLD
$131B
$0 ﹤0.01%
+1
New +$127
HOPE icon
379
Hope Bancorp
HOPE
$1.8B
– –
-200
Closed -$3K
PPLI
380
People Inc
PPLI
$3.12B
$0 ﹤0.01%
45
– –
IAU icon
381
iShares Gold Trust
IAU
$62.8B
– –
-218
Closed -$6K
MBB icon
382
iShares MBS ETF
MBB
$39.1B
– –
-185
Closed -$20K
MLM icon
383
Martin Marietta Materials
MLM
$34.2B
– –
-1,060
Closed -$204K
MSI icon
384
Motorola Solutions
MSI
$72.1B
– –
-28
Closed -$2K
NEE icon
385
NextEra Energy
NEE
$185B
– –
-520
Closed -$17K
OXY icon
386
Occidental Petroleum
OXY
$55.7B
– –
-578
Closed -$44K
PFF icon
387
iShares Preferred and Income Securities ETF
PFF
$13.1B
– –
-45,596
Closed -$1.82M
PGX icon
388
Invesco Preferred ETF
PGX
$3.79B
– –
-9,293
Closed -$142K
VXUS icon
389
Vanguard Total International Stock ETF
VXUS
$151B
– –
-356
Closed -$16K
XWEL icon
390
XWELL
XWEL
$8.95M
– –
0
– –
SMC
391
Summit Midstream
SMC
$420M
– –
-267
Closed -$91K
VBIV
392
DELISTED
VBI Vaccines, Inc. New Common Stock (Canada)
VBIV
– –
-163
Closed -$19K
VRTV
393
DELISTED
VERITIV CORPORATION
VRTV
– –
-7
Closed –
MMP
394
DELISTED
Magellan Midstream Partners, L.P.
MMP
– –
-240
Closed -$18K
SHLX
395
DELISTED
Shell Midstream Partners, L.P.
SHLX
– –
-430
Closed -$15K
TCP
396
DELISTED
TC Pipelines LP
TCP
– –
-309
Closed -$18K
AIG.WS
397
DELISTED
American International Group, Inc.
AIG.WS
$0 ﹤0.01%
3
– –
JCP
398
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
21
– –
VIAB
399
DELISTED
Viacom Inc. Class B
VIAB
– –
-236
Closed -$10K
USG
400
DELISTED
Usg
USG
$0 ﹤0.01%
2
– –
13 14 15
16
17

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HFM
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EC
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G
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MC
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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.