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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
DLX icon
426
Deluxe
DLX
$1.18B
$0 ﹤0.01%
8
– –
DNOW icon
427
DNOW Inc
DNOW
$2.58B
$0 ﹤0.01%
9
– –
EQIX icon
428
Equinix
EQIX
$101B
– –
-79
Closed -$20K
ERIC icon
429
Ericsson
ERIC
$32.2B
– –
-1,363
Closed -$14K
EWA icon
430
iShares MSCI Australia ETF
EWA
$1.39B
– –
-200
Closed -$4K
GPC icon
431
Genuine Parts
GPC
$17.1B
– –
-115
Closed -$10K
PPLI
432
People Inc
PPLI
$3.09B
$0 ﹤0.01%
45
– –
ILCB icon
433
iShares Morningstar US Equity ETF
ILCB
$1.27B
– –
-3,140
Closed -$95K
ILMN icon
434
Illumina
ILMN
$31B
– –
-112
Closed -$24K
K
435
DELISTED
Kellanova
K
– –
-69
Closed -$4K
LHX icon
436
L3Harris
LHX
$51.6B
– –
-81
Closed -$6K
NGL icon
437
NGL Energy Partners
NGL
$2.05B
– –
-625
Closed -$19K
NOW icon
438
ServiceNow
NOW
$115B
– –
-1,375
Closed -$20K
OHI icon
439
Omega Healthcare
OHI
$15.1B
– –
-150
Closed -$5K
QAI icon
440
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.01B
– –
-2,625
Closed -$78K
RIO icon
441
Rio Tinto
RIO
$158B
– –
-167
Closed -$7K
SCHW
442
Charles Schwab
SCHW
$183B
– –
-419
Closed -$14K
SON icon
443
Sonoco
SON
$5.57B
– –
-211
Closed -$9K
SYY icon
444
Sysco
SYY
$40.8B
– –
-333
Closed -$12K
TRV icon
445
Travelers Companies
TRV
$78.1B
– –
-94
Closed -$9K
VOD icon
446
Vodafone
VOD
$36.3B
– –
-322
Closed -$12K
VTRS icon
447
Viatris
VTRS
$20.4B
– –
-557
Closed -$38K
WEC icon
448
WEC Energy
WEC
$35.7B
– –
-85
Closed -$4K
XHB icon
449
State Street SPDR S&P Homebuilders ETF
XHB
$1.6B
– –
-100
Closed -$4K
TUP
450
DELISTED
Tupperware Brands Corporation
TUP
– –
-65
Closed -$4K
16 17
18
19 20

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ROIC
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CC
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HFM
Harvest Fund Management Beijing, China $2.35B AUM 49.85% 1-Year Est. Return
EC
EcoR1 Capital San Francisco, California $2.36B AUM 204.53% 1-Year Est. Return
G
GenTrust Miami, Florida $2.34B AUM 18.43% 1-Year Est. Return
MC
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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.