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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
+1.79%
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
$406M
AUM Growth
+$31.4M
Cap. Flow
+$24.9M
Cap. Flow %
6.12%
Top 10 Hldgs %
67.33%
Holding
100
New
6
Increased
29
Reduced
36
Closed
5

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$4.87M
2
NEAR icon
iShares Short Maturity Bond ETF
NEAR
+$4.31M
3
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$3.71M
4
IVV icon
iShares Core S&P 500 ETF
IVV
+$3.21M
5
JNJ icon
Johnson & Johnson
JNJ
+$2.98M

Top Sells

Rank Stock Value
1
PRF icon
Invesco FTSE RAFI US 1000 ETF
PRF
+$1.06M
2
DEM icon
WisdomTree Emerging Markets High Dividend Fund
DEM
+$401K
3
CSX icon
CSX Corp
CSX
+$342K
4
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$308K
5
NSL
NUVEEN SENIOR INCM FD
NSL
+$285K

Sector Composition

Rank Sector Weight
1 Financials 3.48%
2 Healthcare 1.12%
3 Energy 0.41%
4 Technology 0.32%
5 Consumer Staples 0.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VEU icon
26
Vanguard FTSE All-World ex-US ETF
VEU
$65.6B
$2.33M 0.57%
44,122
+3,649
+9% +$189K
HDV
27
iShares Core High Dividend ETF
HDV
$14.4B
$1.93M 0.47%
112,260
+50
+0% +$843
FCT
28
First Trust Senior Floating Rate Income Fund II
FCT
$251M
$1.49M 0.37%
110,257
-19,602
-15% -$261K
MLPX icon
29
Global X MLP & Energy Infrastructure ETF
MLPX
$3.68B
$1.43M 0.35%
34,574
-605
-2% -$24.8K
XOM icon
30
ExxonMobil
XOM
$651B
$1.41M 0.35%
17,168
+857
+5% +$68K
VWO icon
31
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$1.3M 0.32%
29,832
-7,114
-19% -$308K
MINT icon
32
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17B
$1.26M 0.31%
12,349
+70
+0.6% +$7.12K
EFAV icon
33
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.22B
$1.18M 0.29%
16,580
– –
VTI icon
34
Vanguard Total Stock Market ETF
VTI
$654B
$1.17M 0.29%
9,058
– –
VEA icon
35
Vanguard FTSE Developed Markets ETF
VEA
$226B
$1.09M 0.27%
25,156
+12
+0% +$509
FRA icon
36
BlackRock Floating Rate Income Strategies Fund
FRA
$381M
$1.03M 0.25%
72,097
-16,172
-18% -$228K
RY icon
37
Royal Bank of Canada
RY
$291B
$988K 0.24%
12,763
-600
-4% -$44.8K
RWK icon
38
Invesco S&P MidCap 400 Revenue ETF
RWK
$1.3B
$955K 0.24%
16,569
+10
+0.1% +$560
VIG icon
39
Vanguard Dividend Appreciation ETF
VIG
$111B
$864K 0.21%
9,114
-89
-1% -$8.3K
EMD
40
Western Asset Emerging Markets Debt Fund
EMD
$609M
$862K 0.21%
54,741
+46
+0.1% +$719
VXUS icon
41
Vanguard Total International Stock ETF
VXUS
$153B
$854K 0.21%
15,600
– –
SCZ icon
42
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.5B
$809K 0.2%
13,055
– –
RWJ icon
43
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.03B
$774K 0.19%
33,888
– –
OEF icon
44
iShares S&P 100 ETF
OEF
$19.8B
$766K 0.19%
6,880
– –
SOXX icon
45
iShares Semiconductor ETF
SOXX
$44.2B
$698K 0.17%
13,200
– –
AAPL icon
46
Apple
AAPL
$4.89T
$690K 0.17%
17,908
+4,956
+38% +$192K
DEM icon
47
WisdomTree Emerging Markets High Dividend Fund
DEM
$3.88B
$683K 0.17%
15,878
-9,310
-37% -$401K
VB icon
48
Vanguard Small-Cap ETF
VB
$79.5B
$667K 0.16%
4,717
-205
-4% -$27.9K
PEP icon
49
PepsiCo
PEP
$186B
$633K 0.16%
5,681
+94
+2% +$10.9K
MSFT icon
50
Microsoft
MSFT
$2.84T
$630K 0.16%
8,452
-1,013
-11% -$74K
1
2
3 4

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Klingman & Associates's Q3 2017 Portfolio in Review

As of Q3 2017, Klingman & Associates held 100 positions worth $406M, up 8.4% from $375M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Klingman & Associates deployed $24.9M of net new capital in Q3 2017, opening 6 new positions and adding to 29 existing holdings. Its largest new stake was Vanguard S&P 500 ETF: 2,519 shares worth $581K.

By sector, the portfolio is most concentrated in Financials at 3.5% of assets, down from 3.8% a quarter earlier, followed by Healthcare and Energy.

On the sell side, the largest reduction was Invesco FTSE RAFI US 1000 ETF, an estimated $1.06M trimmed.

  • Klingman & Associates's largest Q3 2017 buy was Vanguard S&P 500 ETF: 2,519 shares worth $581K.
  • Klingman & Associates added most to Vanguard Short-Term Inflation-Protected Securities Index Fund in Q3 2017, an estimated $4.87M increase.
  • Klingman & Associates's biggest Q3 2017 reduction was Invesco FTSE RAFI US 1000 ETF, cutting an estimated $1.06M.
  • Klingman & Associates fully exited CSX Corp in Q3 2017, selling an estimated $342K.
  • Klingman & Associates's ten largest holdings make up 67% of its $406M portfolio in Q3 2017.
  • Klingman & Associates opened 6 new positions and closed 5 in Q3 2017.
  • Klingman & Associates's portfolio value rose 8.4% quarter-over-quarter to $406M.

Based on Klingman & Associates's 13F filing for Q3 2017, filed 24 Oct 2017.