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KA

Klingman & Associates Portfolio holdings

AUM $2.09B
1-Year Est. Return 16.49%
This Fund
S&P 500
This Quarter Est. Return
-9.61%
1 Year Est. Return
+16.49%
3 Year Est. Return
+47.09%
5 Year Est. Return
+51.57%
10 Year Est. Return
+158.57%
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
FCT
26
First Trust Senior Floating Rate Income Fund II
FCT
$251M
– –
-138,362
Closed -$1.81M
DBC icon
27
Invesco DB Commodity Index Tracking Fund
DBC
$1.67B
$1.67M 0.65%
109,917
-2,809
-2% -$44.2K
RY icon
28
Royal Bank of Canada
RY
$291B
$1.46M 0.57%
26,470
– –
JPM icon
29
JPMorgan Chase
JPM
$947B
$1.37M 0.54%
22,428
-126
-0.6% -$8.25K
XOM icon
30
ExxonMobil
XOM
$642B
$1.26M 0.49%
16,948
+1,653
+11% +$127K
VWO icon
31
Vanguard FTSE Emerging Markets ETF
VWO
$120B
$1.24M 0.49%
37,399
+12,846
+52% +$467K
FRA icon
32
BlackRock Floating Rate Income Strategies Fund
FRA
$383M
– –
-94,170
Closed -$1.24M
DEM icon
33
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.88B
$1.02M 0.4%
30,451
+400
+1% +$15.2K
VIG icon
34
Vanguard Dividend Appreciation ETF
VIG
$112B
$868K 0.34%
11,774
+56
+0.5% +$4.34K
PID icon
35
Invesco International Dividend Achievers ETF
PID
$919M
$865K 0.34%
59,871
+1,131
+2% +$17.9K
MLPX icon
36
Global X MLP & Energy Infrastructure ETF
MLPX
$3.6B
$827K 0.32%
+20,341
New +$980K
DBEF icon
37
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
$9.18B
$804K 0.32%
30,850
-10,339
-25% -$290K
RWK icon
38
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.31B
$791K 0.31%
+17,664
New +$842K
IEMG icon
39
iShares Core MSCI Emerging Markets ETF
IEMG
$150B
$777K 0.3%
19,486
+17,106
+719% +$733K
GE icon
40
GE Aerospace
GE
$375B
$746K 0.29%
6,177
-103
-2% -$12.6K
VTIP icon
41
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
$725K 0.28%
15,005
+105
+0.7% +$5.09K
VB icon
42
Vanguard Small-Cap ETF
VB
$79.9B
$700K 0.27%
6,489
– –
MINT icon
43
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$16.9B
$693K 0.27%
6,879
– –
RWX icon
44
State Street SPDR Dow Jones International Real Estate ETF
RWX
$265M
$691K 0.27%
17,587
+20
+0.1% +$815
SCZ icon
45
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.3B
$677K 0.27%
14,177
– –
CHY
46
Calamos Convertible and High Income Fund
CHY
$1.02B
– –
-60,848
Closed -$726K
BRK.B icon
47
Berkshire Hathaway Class B
BRK.B
$1.07T
$670K 0.26%
5,139
+2,689
+110% +$368K
AAPL icon
48
Apple
AAPL
$4.95T
$667K 0.26%
24,188
+11,556
+91% +$339K
JNJ icon
49
Johnson & Johnson
JNJ
$641B
$632K 0.25%
6,771
+2,485
+58% +$240K
EMD
50
Western Asset Emerging Markets Debt Fund
EMD
$614M
– –
-46,782
Closed -$664K
1
2
3 4 5

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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.