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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
+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
CHY
51
Calamos Convertible and High Income Fund
CHY
$1.03B
$571K 0.17%
51,871
-2,000
-4% -$22.3K
VSS icon
52
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.2B
$564K 0.17%
5,665
+150
+3% +$14.6K
VVR icon
53
Invesco Senior Income Trust
VVR
$456M
$557K 0.17%
128,572
-1,250
-1% -$5.38K
RSP icon
54
Invesco S&P 500 Equal Weight ETF
RSP
$96.3B
$556K 0.17%
6,652
– –
MSFT icon
55
Microsoft
MSFT
$2.84T
$506K 0.15%
8,782
– –
SOXX icon
56
iShares Semiconductor ETF
SOXX
$43.6B
$497K 0.15%
13,200
– –
IWF icon
57
iShares Russell 1000 Growth ETF
IWF
$120B
$477K 0.14%
18,324
-520
-3% -$13.5K
BRK.B icon
58
Berkshire Hathaway Class B
BRK.B
$1.07T
$459K 0.14%
3,178
+150
+5% +$21.9K
JNJ icon
59
Johnson & Johnson
JNJ
$635B
$454K 0.14%
3,846
+175
+5% +$21.2K
IWR icon
60
iShares Russell Mid-Cap ETF
IWR
$56.8B
$436K 0.13%
10,004
– –
INB
61
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
$436K 0.13%
49,095
+1,000
+2% +$9.04K
EMB icon
62
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.9B
$422K 0.13%
3,600
– –
VYM icon
63
Vanguard High Dividend Yield ETF
VYM
$81.1B
$416K 0.13%
5,767
-89
-2% -$6.46K
HON icon
64
Honeywell
HON
$77.1B
$391K 0.12%
3,735
+105
+3% +$11K
PEP icon
65
PepsiCo
PEP
$186B
$391K 0.12%
3,595
– –
NSL
66
DELISTED
NUVEEN SENIOR INCM FD
NSL
$380K 0.11%
58,048
-10,000
-15% -$62.5K
DIS icon
67
Walt Disney
DIS
$165B
$374K 0.11%
4,031
+132
+3% +$12.6K
WIP icon
68
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$479M
$364K 0.11%
6,400
– –
VO icon
69
Vanguard Mid-Cap ETF
VO
$106B
$359K 0.11%
11,080
-840
-7% -$26.9K
EMLP icon
70
First Trust North American Energy Infrastructure Fund
EMLP
$4.18B
$347K 0.1%
13,696
– –
AAPL icon
71
Apple
AAPL
$4.89T
$346K 0.1%
12,252
– –
PDN icon
72
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
$349M
$334K 0.1%
12,000
– –
IWD icon
73
iShares Russell 1000 Value ETF
IWD
$82B
$331K 0.1%
3,138
-50
-2% -$5.27K
PG icon
74
Procter & Gamble
PG
$343B
$324K 0.1%
3,607
+614
+21% +$53.3K
HSY icon
75
Hershey
HSY
$35.4B
$306K 0.09%
3,200
+1,200
+60% +$127K
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.