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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
+2.99%
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
$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
OEF icon
51
iShares S&P 100 ETF
OEF
$19.8B
$639K 0.24%
7,010
– –
RWJ icon
52
Invesco S&P SmallCap 600 Revenue ETF
RWJ
$2.08B
$626K 0.23%
36,318
+3
+0% +$54
PFE icon
53
Pfizer
PFE
$144B
$614K 0.23%
20,043
+1,054
+6% +$33.2K
CHY
54
Calamos Convertible and High Income Fund
CHY
$975M
$581K 0.22%
+55,305
New +$609K
VSS icon
55
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.1B
$580K 0.22%
6,250
– –
NEAR icon
56
iShares Short Maturity Bond ETF
NEAR
$4.82B
$550K 0.21%
10,990
+6,000
+120% +$300K
RTR
57
DELISTED
Oppenheimer ADR Revenue ETF
RTR
$539K 0.2%
18,286
-464
-2% -$14.6K
NKE icon
58
Nike
NKE
$63.4B
$537K 0.2%
8,588
– –
JNJ icon
59
Johnson & Johnson
JNJ
$644B
$531K 0.2%
5,171
-1,600
-24% -$161K
VRP icon
60
Invesco Variable Rate Preferred ETF
VRP
$2.98B
$531K 0.2%
21,900
+14,000
+177% +$340K
VVR icon
61
Invesco Senior Income Trust
VVR
$456M
$520K 0.19%
+128,822
New +$531K
RSP icon
62
Invesco S&P 500 Equal Weight ETF
RSP
$97.8B
$510K 0.19%
6,652
– –
MSFT icon
63
Microsoft
MSFT
$2.95T
$487K 0.18%
8,782
+665
+8% +$35K
IWF icon
64
iShares Russell 1000 Growth ETF
IWF
$118B
$469K 0.18%
18,844
-4,552
-19% -$114K
INB
65
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
$455K 0.17%
+48,095
New +$478K
WIP icon
66
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$465M
$448K 0.17%
8,900
-2,500
-22% -$130K
MRK icon
67
Merck
MRK
$323B
$432K 0.16%
8,566
– –
DIS icon
68
Walt Disney
DIS
$171B
$410K 0.15%
3,898
– –
IWR icon
69
iShares Russell Mid-Cap ETF
IWR
$56.2B
$401K 0.15%
10,004
– –
FRC
70
DELISTED
First Republic Bank
FRC
$396K 0.15%
6,000
– –
SOXX icon
71
iShares Semiconductor ETF
SOXX
$39.3B
$395K 0.15%
13,200
– –
PXF icon
72
Invesco FTSE RAFI Developed Markets ex-US ETF
PXF
$2.83B
$386K 0.14%
10,675
– –
VYM icon
73
Vanguard High Dividend Yield ETF
VYM
$81.4B
$384K 0.14%
5,756
-2,164
-27% -$145K
EMB icon
74
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$15B
$381K 0.14%
3,600
– –
NSL
75
DELISTED
NUVEEN SENIOR INCM FD
NSL
$375K 0.14%
+65,048
New +$375K
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.