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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
ERF
451
DELISTED
Enerplus Corporation
ERF
– –
-500
Closed -$4K
SPLK
452
DELISTED
Splunk Inc
SPLK
– –
-226
Closed -$16K
VRTV
453
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
7
– –
ABB
454
DELISTED
ABB Ltd
ABB
– –
-983
Closed -$21K
CERN
455
DELISTED
Cerner Corp
CERN
– –
-408
Closed -$28K
RDS.A
456
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-73
Closed -$4K
QEP
457
DELISTED
QEP RESOURCES, INC.
QEP
$0 ﹤0.01%
50
– –
AIG.WS
458
DELISTED
American International Group, Inc.
AIG.WS
– –
-3
Closed -$81
TIF
459
DELISTED
Tiffany & Co.
TIF
– –
-137
Closed -$13K
JCP
460
DELISTED
J.C. Penney Company, Inc.
JCP
$0 ﹤0.01%
21
– –
AMID
461
DELISTED
American Midstream Partners, LP
AMID
– –
-400
Closed -$6K
BMS
462
DELISTED
Bemis
BMS
$0 ﹤0.01%
25
-181
-88% -$7.94K
USG
463
DELISTED
Usg
USG
$0 ﹤0.01%
2
– –
ATHN
464
DELISTED
Athenahealth, Inc.
ATHN
– –
-131
Closed -$15K
EEP
465
DELISTED
Enbridge Energy Partners
EEP
– –
-500
Closed -$17K
PERY
466
DELISTED
Perry Ellis International Inc
PERY
$0 ﹤0.01%
19
– –
AHGP
467
DELISTED
Alliance Holdings GP
AHGP
– –
-575
Closed -$23K
ECTE
468
DELISTED
ECHO THERAPEUTICS, INC. NEW COMMON STOCK (DE)
ECTE
$0 ﹤0.01%
25
– –
NMA
469
DELISTED
NUVEEN MUNI ADVANTAGE FUND
NMA
– –
-1
Closed -$13
VRNG
470
DELISTED
VRINGO, INC COM STK NEW (DE)
VRNG
$0 ﹤0.01%
+100
New +$585
RCPI
471
DELISTED
ROCK CREEK PHARMACEUTICALS INC COM STK (DE)
RCPI
$0 ﹤0.01%
829
– –
CELG
472
DELISTED
Celgene Corp
CELG
– –
-208
Closed -$24K
LNKD
473
DELISTED
LinkedIn Corporation
LNKD
– –
-80
Closed -$17K
LNCO
474
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
– –
-100
Closed -$1K
ARMH
475
DELISTED
ARM HOLDINGS PLC ADS
ARMH
– –
-357
Closed -$18K
16 17 18
19
20

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HFM
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EC
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G
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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.