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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
+2.99%
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
$267M
AUM Growth
+$12.5M
Cap. Flow
+$18.1M
Cap. Flow %
6.76%
Top 10 Hldgs %
57.96%
Holding
455
New
72
Increased
39
Reduced
52
Closed
49

Top Buys

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$12.1M
2
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$5.48M
3
TIP icon
iShares TIPS Bond ETF
TIP
+$3.75M
4
PJT icon
PJT Partners
PJT
+$3.66M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$2.02M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.81M
2
MLPN
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
+$3.25M
3
DBC icon
Invesco DB Commodity Index Tracking Fund
DBC
+$1.59M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$1.57M
5
VNQ icon
Vanguard Real Estate ETF
VNQ
+$1.3M

Sector Composition

Rank Sector Weight
1 Financials 5.76%
2 Energy 1.27%
3 Healthcare 1.18%
4 Technology 1.08%
5 Industrials 0.98%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFF icon
26
iShares Preferred and Income Securities ETF
PFF
$13.2B
$1.79M 0.67%
46,096
+1
+0% +$39
FCT
27
First Trust Senior Floating Rate Income Fund II
FCT
$251M
$1.73M 0.65%
+140,362
New +$1.74M
VEU icon
28
Vanguard FTSE All-World ex-US ETF
VEU
$65.9B
$1.69M 0.63%
38,805
-24,237
-38% -$1.08M
JPM icon
29
JPMorgan Chase
JPM
$947B
$1.52M 0.57%
23,030
+602
+3% +$39.2K
EFAV icon
30
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.26B
$1.51M 0.56%
23,255
-9,010
-28% -$587K
RY icon
31
Royal Bank of Canada
RY
$291B
$1.41M 0.53%
26,355
-115
-0.4% -$6.45K
XOM icon
32
ExxonMobil
XOM
$642B
$1.32M 0.49%
16,948
– –
GE icon
33
GE Aerospace
GE
$375B
$1.24M 0.46%
8,283
+2,106
+34% +$299K
FRA icon
34
BlackRock Floating Rate Income Strategies Fund
FRA
$383M
$1.2M 0.45%
+92,870
New +$1.19M
VWO icon
35
Vanguard FTSE Emerging Markets ETF
VWO
$120B
$1.13M 0.42%
34,576
-2,823
-8% -$97.2K
VTIP icon
36
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
$1.05M 0.39%
21,797
+6,792
+45% +$328K
MLPX icon
37
Global X MLP & Energy Infrastructure ETF
MLPX
$3.6B
$859K 0.32%
24,664
+4,323
+21% +$174K
DBEF icon
38
Xtrackers MSCI EAFE Hedged Equity ETF
DBEF
$9.18B
$838K 0.31%
30,850
– –
RWK icon
39
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.31B
$800K 0.3%
17,664
– –
GOOG icon
40
Alphabet (Google) Class C
GOOG
$3.99T
$792K 0.3%
20,860
+1,540
+8% +$55.3K
DEM icon
41
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.88B
$718K 0.27%
22,686
-7,765
-25% -$266K
VB icon
42
Vanguard Small-Cap ETF
VB
$79.9B
$718K 0.27%
6,489
– –
SCZ icon
43
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.3B
$708K 0.26%
14,177
– –
RWX icon
44
State Street SPDR Dow Jones International Real Estate ETF
RWX
$265M
$688K 0.26%
17,594
+7
+0% +$282
PID icon
45
Invesco International Dividend Achievers ETF
PID
$919M
$681K 0.25%
50,176
-9,695
-16% -$144K
BRK.B icon
46
Berkshire Hathaway Class B
BRK.B
$1.07T
$679K 0.25%
5,139
– –
VIG icon
47
Vanguard Dividend Appreciation ETF
VIG
$112B
$661K 0.25%
8,500
-3,274
-28% -$255K
IDLV icon
48
Invesco S&P International Developed Low Volatility ETF
IDLV
$341M
$646K 0.24%
+22,600
New +$662K
AAPL icon
49
Apple
AAPL
$4.95T
$643K 0.24%
24,432
+244
+1% +$6.97K
EMD
50
Western Asset Emerging Markets Debt Fund
EMD
$614M
$642K 0.24%
+46,782
New +$656K
1
2
3 4 5

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Klingman & Associates's Q4 2015 Portfolio in Review

As of Q4 2015, Klingman & Associates held 455 positions worth $267M, up 4.9% from $255M the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Klingman & Associates deployed $18.1M of net new capital in Q4 2015, opening 72 new positions and adding to 39 existing holdings. Its largest new stake was ClearBridge MLP and Midstream Fund Inc.: 62,162 shares worth $4.72M.

By sector, the portfolio is most concentrated in Financials at 5.8% of assets, up from 3.3% a quarter earlier, followed by Energy and Healthcare.

On the sell side, the largest reduction was iShares Core S&P 500 ETF, an estimated $6.81M trimmed.

  • Klingman & Associates's largest Q4 2015 buy was ClearBridge MLP and Midstream Fund Inc.: 62,162 shares worth $4.72M.
  • Klingman & Associates added most to JP Morgan Alerian MLP Index ETN 5/24/24 in Q4 2015, an estimated $12.1M increase.
  • Klingman & Associates's biggest Q4 2015 reduction was iShares Core S&P 500 ETF, cutting an estimated $6.81M.
  • Klingman & Associates fully exited PIMCO Enhanced Short Maturity Active Exchange-Traded Fund in Q4 2015, selling an estimated $693K.
  • Klingman & Associates's ten largest holdings make up 58% of its $267M portfolio in Q4 2015.
  • Klingman & Associates opened 72 new positions and closed 49 in Q4 2015.
  • Klingman & Associates's portfolio value rose 4.9% quarter-over-quarter to $267M.

Based on Klingman & Associates's 13F filing for Q4 2015, filed 9 Feb 2016.