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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
BSCL
101
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
$180K 0.05%
8,350
– –
HYG icon
102
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$15.9B
$177K 0.05%
2,031
-55
-3% -$4.73K
EEFT icon
103
Euronet Worldwide
EEFT
$3.01B
$164K 0.05%
2,000
– –
SCD
104
LMP Capital and Income Fund
SCD
$351M
$158K 0.05%
11,600
– –
BUD icon
105
AB InBev
BUD
$156B
$156K 0.05%
1,187
– –
QAI icon
106
NYLI Hedge Multi-Strategy Tracker ETF
QAI
$1.01B
$156K 0.05%
5,340
-870
-14% -$25.5K
QQQ icon
107
Invesco QQQ Trust
QQQ
$449B
$156K 0.05%
1,314
– –
JNK icon
108
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.05B
$150K 0.05%
1,362
-227
-14% -$24.7K
IBM icon
109
IBM
IBM
$204B
$148K 0.04%
975
+138
+16% +$20.9K
CVS icon
110
CVS Health
CVS
$137B
$145K 0.04%
1,625
+350
+27% +$33K
RFI
111
Cohen & Steers Total Return Realty Fund
RFI
$312M
$144K 0.04%
10,930
– –
JMF
112
DELISTED
NUVEEN ENERGY MLP TOTAL RETURN FUND
JMF
– –
0
– –
GOOG icon
113
Alphabet (Google) Class C
GOOG
$3.99T
$143K 0.04%
3,680
+820
+29% +$31.1K
BHK icon
114
BlackRock Core Bond Trust
BHK
$644M
– –
0
– –
IJT icon
115
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.25B
$135K 0.04%
1,966
– –
WMT icon
116
Walmart Inc
WMT
$889B
$135K 0.04%
5,610
– –
QCOM icon
117
Qualcomm
QCOM
$179B
$134K 0.04%
1,958
– –
RTR
118
DELISTED
Oppenheimer ADR Revenue ETF
RTR
$132K 0.04%
4,070
-3,664
-47% -$116K
EMD
119
DELISTED
Western Asset Emerging Markets
EMD
$131K 0.04%
11,346
– –
ADI icon
120
Analog Devices
ADI
$181B
$130K 0.04%
2,010
– –
CSCO icon
121
Cisco
CSCO
$452B
$128K 0.04%
4,040
– –
CL icon
122
Colgate-Palmolive
CL
$73.6B
$124K 0.04%
1,670
-341
-17% -$25.2K
DLS icon
123
WisdomTree International SmallCap Dividend Fund
DLS
$1.05B
$123K 0.04%
2,000
– –
STPZ icon
124
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$505M
$119K 0.04%
2,250
– –
MDT icon
125
Medtronic
MDT
$108B
$118K 0.04%
1,362
– –
3 4
5
6 7

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CL
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IHAM
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NSCM
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ACG
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NSUP
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ACM
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TP
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ACP
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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.