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Klingman & Associates Portfolio holdings

AUM $2.09B
1-Year Est. Return 16.49%
This Fund
S&P 500
This Quarter Est. Return
+2.72%
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
$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
CFG icon
26
Citizens Financial Group
CFG
$30.4B
$2.09M 0.63%
84,500
– –
MLPX icon
27
Global X MLP & Energy Infrastructure ETF
MLPX
$3.68B
$1.95M 0.59%
42,717
-133
-0.3% -$5.71K
FCT
28
First Trust Senior Floating Rate Income Fund II
FCT
$251M
$1.9M 0.57%
138,937
-825
-0.6% -$11.1K
EFAV icon
29
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.22B
$1.85M 0.56%
27,370
-1,000
-4% -$67.3K
HDV
30
iShares Core High Dividend ETF
HDV
$14.4B
$1.76M 0.53%
108,335
– –
VEU icon
31
Vanguard FTSE All-World ex-US ETF
VEU
$65.6B
$1.7M 0.51%
37,328
-1,496
-4% -$66.9K
XOM icon
32
ExxonMobil
XOM
$651B
$1.5M 0.45%
17,197
+2,352
+16% +$209K
JPM icon
33
JPMorgan Chase
JPM
$939B
$1.49M 0.45%
22,378
+300
+1% +$19.6K
VWO icon
34
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$1.38M 0.42%
36,713
+42
+0.1% +$1.56K
MINT icon
35
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
$1.29M 0.39%
+12,679
New +$1.28M
FRA icon
36
BlackRock Floating Rate Income Strategies Fund
FRA
$381M
$1.2M 0.36%
86,307
-2,556
-3% -$34.6K
GE icon
37
GE Aerospace
GE
$367B
$991K 0.3%
6,978
+247
+4% +$36.9K
VEA icon
38
Vanguard FTSE Developed Markets ETF
VEA
$226B
$938K 0.28%
25,078
+13
+0.1% +$478
RY icon
39
Royal Bank of Canada
RY
$291B
$889K 0.27%
14,355
-12,000
-46% -$738K
DEM icon
40
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.88B
$872K 0.26%
23,205
-50
-0.2% -$1.89K
RWK icon
41
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.3B
$840K 0.25%
16,664
-1,000
-6% -$49.8K
VIG icon
42
Vanguard Dividend Appreciation ETF
VIG
$111B
$791K 0.24%
9,426
+12
+0.1% +$1.02K
EMD
43
Western Asset Emerging Markets Debt Fund
EMD
$609M
$736K 0.22%
45,282
-1,500
-3% -$24.3K
RWX icon
44
State Street SPDR Dow Jones International Real Estate ETF
RWX
$265M
$729K 0.22%
17,487
-158
-0.9% -$6.64K
IDLV icon
45
Invesco S&P International Developed Low Volatility ETF
IDLV
$338M
$693K 0.21%
22,600
– –
SCZ icon
46
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.5B
$693K 0.21%
13,229
– –
RWJ icon
47
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.03B
$673K 0.2%
33,888
– –
OEF icon
48
iShares S&P 100 ETF
OEF
$19.8B
$665K 0.2%
6,929
– –
PFE icon
49
Pfizer
PFE
$140B
$639K 0.19%
19,878
– –
VB icon
50
Vanguard Small-Cap ETF
VB
$79.5B
$595K 0.18%
4,867
-578
-11% -$69.9K
1
2
3 4 5

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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.