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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
+3.15%
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
$329M
AUM Growth
-$2.49M
Cap. Flow
-$12.2M
Cap. Flow %
-3.71%
Top 10 Hldgs %
68.42%
Holding
378
New
4
Increased
19
Reduced
44
Closed
281

Top Buys

Rank Stock Value
1
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$20.2M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$3.95M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$2.58M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$1.7M
5
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$1.58M

Top Sells

Rank Stock Value
1
MLPN
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
+$15.8M
2
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$4.85M
3
TIP icon
iShares TIPS Bond ETF
TIP
+$2.3M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.77M
5
VTI icon
Vanguard Morningstar Total Stock Market ETF
VTI
+$1.66M

Sector Composition

Rank Sector Weight
1 Miscellaneous 94.29%
2 Financials 3.29%
3 Energy 0.58%
4 Healthcare 0.47%
5 Consumer Staples 0.43%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FCT
26
DELISTED
First Trust Senior Floating Rate Income Fund II
FCT
$1.88M 0.57%
135,892
-3,045
-2% -$41.5K
HDV
27
iShares Core High Dividend ETF
HDV
$15.3B
$1.78M 0.54%
108,335
– –
XOM icon
28
ExxonMobil
XOM
$675B
$1.67M 0.51%
18,502
+1,305
+8% +$114K
VEU icon
29
Vanguard FTSE All-World ex-US ETF
VEU
$70.4B
$1.6M 0.49%
36,333
-995
-3% -$44.1K
FRA icon
30
BlackRock Floating Rate Income Strategies Fund
FRA
$384M
$1.33M 0.4%
92,357
+6,050
+7% +$84.2K
MINT icon
31
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17.5B
$1.31M 0.4%
12,979
+300
+2% +$30.4K
VWO icon
32
Vanguard FTSE Emerging Markets ETF
VWO
$128B
$1.27M 0.39%
35,533
-1,180
-3% -$43.2K
EFAV icon
33
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.43B
$1.09M 0.33%
17,845
-9,525
-35% -$602K
VTI icon
34
Vanguard Morningstar Total Stock Market ETF
VTI
$686B
$1.07M 0.32%
9,242
-14,758
-61% -$1.66M
GE icon
35
GE Aerospace
GE
$338B
$1.06M 0.32%
6,971
-7
-0.1% -$1.02K
DEM icon
36
WisdomTree Emerging Markets High Dividend Fund
DEM
$4.27B
$941K 0.29%
25,205
+2,000
+9% +$74.6K
VEA icon
37
Vanguard FTSE Developed Markets ETF
VEA
$238B
$917K 0.28%
25,101
+23
+0.1% +$839
RWK icon
38
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.31B
$901K 0.27%
16,664
– –
VIG icon
39
Vanguard Dividend Appreciation ETF
VIG
$111B
$804K 0.24%
9,443
+17
+0.2% +$1.43K
EMD
40
Western Asset Emerging Markets Debt Fund
EMD
$606M
$785K 0.24%
53,397
+8,115
+18% +$123K
RY icon
41
Royal Bank of Canada
RY
$286B
$776K 0.24%
11,463
-2,892
-20% -$187K
RWJ icon
42
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.03B
$758K 0.23%
33,888
– –
VXUS icon
43
Vanguard Total International Stock ETF
VXUS
$165B
$716K 0.22%
+15,600
New +$718K
OEF icon
44
iShares S&P 100 ETF
OEF
$20.3B
$683K 0.21%
6,880
-49
-0.7% -$4.75K
JPM icon
45
JPMorgan Chase
JPM
$943B
$662K 0.2%
7,677
-14,701
-66% -$1.12M
SCZ icon
46
iShares MSCI EAFE Small-Cap ETF
SCZ
$13B
$651K 0.2%
13,055
-174
-1% -$8.78K
PFE icon
47
Pfizer
PFE
$158B
$626K 0.19%
20,300
+422
+2% +$12.9K
RSP icon
48
Invesco S&P 500 Equal Weight ETF
RSP
$98.3B
$576K 0.17%
6,652
– –
VB icon
49
Vanguard Morningstar Small-Cap ETF
VB
$79.4B
$560K 0.17%
4,345
-522
-11% -$64.8K
VVR icon
50
Invesco Senior Income Trust
VVR
$456M
$543K 0.16%
116,952
-11,620
-9% -$51.5K
1
2
3 4 5

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BCM
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OCMI
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NPF
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GCP
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HCL
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Klingman & Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Klingman & Associates held 378 positions worth $329M, down 0.75% from $332M the previous quarter. Its ten largest holdings account for 68% of the portfolio.

Klingman & Associates withdrew a net $12.2M in Q4 2016, closing 281 positions and reducing 44 holdings. Its most notable exit was Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020, an estimated $15.8M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 94% of assets, up from 92% a quarter earlier, followed by Financials and Energy.

Against the trend, Klingman & Associates opened a new position in UBS E-TRACS Alerian MLP Infrastructure ETN worth $21.1M.

  • Klingman & Associates's largest Q4 2016 buy was UBS E-TRACS Alerian MLP Infrastructure ETN: 742,074 shares worth $21.1M.
  • Klingman & Associates added most to iShares Core S&P Mid-Cap ETF in Q4 2016, an estimated $3.95M increase.
  • Klingman & Associates's biggest Q4 2016 reduction was iShares TIPS Bond ETF, cutting an estimated $2.3M.
  • Klingman & Associates fully exited Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020 in Q4 2016, selling an estimated $15.8M.
  • Klingman & Associates's ten largest holdings make up 68% of its $329M portfolio in Q4 2016.
  • Klingman & Associates opened 4 new positions and closed 281 in Q4 2016.
  • Klingman & Associates's portfolio value fell 0.75% quarter-over-quarter to $329M.

Based on Klingman & Associates's 13F filing for Q4 2016, filed 26 Jan 2017.