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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
+3.15%
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
$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 Total Stock Market ETF
VTI
+$1.66M

Sector Composition

Rank Sector Weight
1 Financials 3.29%
2 Energy 0.58%
3 Healthcare 0.47%
4 Consumer Staples 0.43%
5 Industrials 0.42%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SOXX icon
51
iShares Semiconductor ETF
SOXX
$42.2B
$540K 0.16%
13,200
– –
CHY
52
Calamos Convertible and High Income Fund
CHY
$1.02B
$537K 0.16%
50,871
-1,000
-2% -$10.5K
MSFT icon
53
Microsoft
MSFT
$2.93T
$509K 0.15%
8,199
-583
-7% -$35.1K
IWF icon
54
iShares Russell 1000 Growth ETF
IWF
$120B
$498K 0.15%
19,008
+684
+4% +$17.8K
BRK.B icon
55
Berkshire Hathaway Class B
BRK.B
$1.07T
$494K 0.15%
3,028
-150
-5% -$23.1K
RWX icon
56
State Street SPDR Dow Jones International Real Estate ETF
RWX
$266M
$488K 0.15%
13,534
-3,953
-23% -$151K
IWR icon
57
iShares Russell Mid-Cap ETF
IWR
$56B
$465K 0.14%
10,404
+400
+4% +$17.5K
VYM icon
58
Vanguard High Dividend Yield ETF
VYM
$81.2B
$426K 0.13%
5,619
-148
-3% -$10.9K
JNJ icon
59
Johnson & Johnson
JNJ
$645B
$423K 0.13%
3,671
-175
-5% -$20.2K
INB
60
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
$410K 0.12%
48,095
-1,000
-2% -$8.62K
DIS icon
61
Walt Disney
DIS
$168B
$407K 0.12%
3,901
-130
-3% -$12.7K
EMB icon
62
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$15B
$397K 0.12%
3,600
– –
VO icon
63
Vanguard Mid-Cap ETF
VO
$106B
$365K 0.11%
11,080
– –
AAPL icon
64
Apple
AAPL
$4.93T
$355K 0.11%
12,252
– –
PEP icon
65
PepsiCo
PEP
$191B
$353K 0.11%
3,374
-221
-6% -$23.1K
EWX icon
66
State Street SPDR S&P Emerging Markets Small Cap ETF
EWX
$665M
$352K 0.11%
+8,860
New +$368K
IWD icon
67
iShares Russell 1000 Value ETF
IWD
$81.5B
$352K 0.11%
3,138
– –
EMLP icon
68
First Trust North American Energy Infrastructure Fund
EMLP
$4.13B
$346K 0.11%
13,696
– –
HON icon
69
Honeywell
HON
$77.4B
$339K 0.1%
3,238
-497
-13% -$50.5K
HSY icon
70
Hershey
HSY
$36.5B
$331K 0.1%
3,200
– –
PDN icon
71
Invesco FTSE RAFI Developed Markets ex-US Small-Mid ETF
PDN
$349M
$324K 0.1%
12,000
– –
VXF icon
72
Vanguard Extended Market ETF
VXF
$30.4B
$312K 0.09%
3,250
– –
WIP icon
73
State Street SPDR FTSE International Government Inflation-Protected Bond ETF
WIP
$466M
$312K 0.09%
6,000
-400
-6% -$21.5K
NSL
74
DELISTED
NUVEEN SENIOR INCM FD
NSL
$306K 0.09%
45,129
-12,919
-22% -$84.5K
C icon
75
Citigroup
C
$221B
$305K 0.09%
5,133
-659
-11% -$35.6K
1 2
3
4 5

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NSUP
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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 Financials at 3.3% of assets, down from 3.3% a quarter earlier, followed by Energy and Healthcare.

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.