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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
IJK icon
126
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.6B
$161K 0.06%
4,120
– –
MLM icon
127
Martin Marietta Materials
MLM
$34.2B
$161K 0.06%
1,060
– –
CMCSA icon
128
Comcast
CMCSA
$87.3B
$157K 0.06%
5,552
– –
URI icon
129
United Rentals
URI
$65.7B
$150K 0.06%
+2,500
New +$174K
EEFT icon
130
Euronet Worldwide
EEFT
$3.19B
$148K 0.06%
2,000
– –
IBM icon
131
IBM
IBM
$213B
$144K 0.06%
1,040
– –
SCD
132
LMP Capital and Income Fund
SCD
$351M
– –
0
– –
COST icon
133
Costco
COST
$432B
$139K 0.05%
968
-108
-10% -$15.4K
DIA icon
134
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45B
$138K 0.05%
850
– –
PGX icon
135
Invesco Preferred ETF
PGX
$3.79B
$133K 0.05%
9,149
+47
+0.5% +$687
QQQ icon
136
Invesco QQQ Trust
QQQ
$436B
$133K 0.05%
1,314
– –
AIG icon
137
American International
AIG
$42.5B
$130K 0.05%
2,305
+2,300
+46,000% +$141K
RFI
138
Cohen & Steers Total Return Realty Fund
RFI
$312M
– –
-10,930
Closed -$135K
ORCL icon
139
Oracle
ORCL
$339B
$124K 0.05%
3,436
– –
CVS icon
140
CVS Health
CVS
$135B
$123K 0.05%
1,275
– –
WMT icon
141
Walmart Inc
WMT
$909B
$121K 0.05%
5,610
– –
IJT icon
142
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.13B
$118K 0.05%
1,966
– –
GMLP
143
DELISTED
Golar LNG Partners LP
GMLP
$117K 0.05%
+8,000
New +$164K
STPZ icon
144
PIMCO 1-5 Year US TIPS Index Exchange-Traded Fund
STPZ
$507M
$116K 0.05%
2,250
– –
BMY icon
145
Bristol-Myers Squibb
BMY
$129B
$114K 0.04%
1,933
-328
-15% -$20.8K
ADI icon
146
Analog Devices
ADI
$172B
$113K 0.04%
2,010
– –
GLD icon
147
SPDR Gold Trust
GLD
$131B
$113K 0.04%
1,058
– –
DLS icon
148
WisdomTree International SmallCap Dividend Fund
DLS
$1.04B
$110K 0.04%
2,000
– –
ABT icon
149
Abbott
ABT
$187B
$108K 0.04%
2,706
– –
EMD
150
DELISTED
Western Asset Emerging Markets
EMD
– –
-11,346
Closed -$115K
4 5
6
7 8

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HFM
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SCA
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BAM
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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.