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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
-9.61%
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
$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
RWJ icon
51
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.1B
$614K 0.24%
+36,315
New +$662K
GOOG icon
52
Alphabet (Google) Class C
GOOG
$4.06T
$604K 0.24%
+19,320
New +$594K
OEF icon
53
iShares S&P 100 ETF
OEF
$19.7B
$594K 0.23%
7,010
– –
WIP icon
54
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$466M
$593K 0.23%
11,400
– –
IWB icon
55
iShares Russell 1000 ETF
IWB
$47.6B
$591K 0.23%
5,523
+188
+4% +$21.3K
VSS icon
56
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.1B
$566K 0.22%
6,250
– –
PFE icon
57
Pfizer
PFE
$144B
$565K 0.22%
18,989
-834
-4% -$26.7K
AMZN icon
58
Amazon
AMZN
$2.46T
$563K 0.22%
22,000
+21,400
+3,567% +$541K
RTR
59
DELISTED
Oppenheimer ADR Revenue ETF
RTR
$562K 0.22%
+18,750
New +$628K
VVR icon
60
Invesco Senior Income Trust
VVR
$454M
– –
-131,622
Closed -$573K
IWF icon
61
iShares Russell 1000 Growth ETF
IWF
$118B
$543K 0.21%
23,396
+452
+2% +$11.1K
NKE icon
62
Nike
NKE
$63.4B
$528K 0.21%
8,588
+7,500
+689% +$424K
VYM icon
63
Vanguard High Dividend Yield ETF
VYM
$81.6B
$496K 0.19%
7,920
– –
RSP icon
64
Invesco S&P 500 Equal Weight ETF
RSP
$98.1B
$489K 0.19%
6,652
– –
INB
65
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
– –
-48,095
Closed -$508K
HON icon
66
Honeywell
HON
$76.9B
$403K 0.16%
4,743
+1,113
+31% +$101K
MRK icon
67
Merck
MRK
$323B
$403K 0.16%
8,566
+4,716
+122% +$251K
DIS icon
68
Walt Disney
DIS
$172B
$398K 0.16%
3,898
– –
IWR icon
69
iShares Russell Mid-Cap ETF
IWR
$56.4B
$389K 0.15%
10,004
+140
+1% +$5.8K
NSL
70
DELISTED
NUVEEN SENIOR INCM FD
NSL
– –
-65,048
Closed -$403K
EMB icon
71
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$15B
$383K 0.15%
3,600
– –
IWD icon
72
iShares Russell 1000 Value ETF
IWD
$82.1B
$383K 0.15%
4,107
+696
+20% +$69.1K
PXF icon
73
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.84B
$381K 0.15%
10,675
+2,910
+37% +$113K
FRC
74
DELISTED
First Republic Bank
FRC
$376K 0.15%
+6,000
New +$375K
CAH icon
75
Cardinal Health
CAH
$54.4B
$362K 0.14%
4,718
+3,800
+414% +$318K
1 2
3
4 5

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HFM
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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.