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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
CFG icon
151
Citizens Financial Group
CFG
$30.1B
$107K 0.04%
4,500
– –
CSCO icon
152
Cisco
CSCO
$443B
$106K 0.04%
4,040
-1,212
-23% -$32.7K
BSCK
153
DELISTED
Invesco BulletShares 2020 Corporate Bond ETF
BSCK
$106K 0.04%
5,000
– –
QCOM icon
154
Qualcomm
QCOM
$164B
$105K 0.04%
1,958
-598
-23% -$35.5K
TGT icon
155
Target
TGT
$66.3B
$105K 0.04%
1,336
-255
-16% -$20.4K
VPL icon
156
Vanguard FTSE Pacific ETF
VPL
$7.77B
$105K 0.04%
1,960
– –
EEM icon
157
iShares MSCI Emerging Markets ETF
EEM
$27.5B
$103K 0.04%
3,150
– –
EEMV icon
158
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.36B
$103K 0.04%
2,079
– –
VHT icon
159
Vanguard Health Care ETF
VHT
$18.5B
$102K 0.04%
837
– –
MHN
160
DELISTED
BlackRock MuniHoldings New Yrok Quality Fund
MHN
– –
-7,285
Closed -$100K
TOTL icon
161
State Street DoubleLine Total Return Tactical ETF
TOTL
$4.1B
$99K 0.04%
2,000
– –
INTC icon
162
Intel
INTC
$413B
$92K 0.04%
3,060
-445
-13% -$12.9K
MDT icon
163
Medtronic
MDT
$112B
$92K 0.04%
1,387
– –
D icon
164
Dominion Energy
D
$62B
$91K 0.04%
1,300
-500
-28% -$35.1K
FDX icon
165
FedEx
FDX
$73B
$91K 0.04%
637
+200
+46% +$31.9K
IJS icon
166
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$91K 0.04%
1,748
– –
NBTB icon
167
NBT Bancorp
NBTB
$2.82B
$88K 0.03%
3,299
– –
KMB icon
168
Kimberly-Clark
KMB
$37.6B
$87K 0.03%
799
– –
MMM icon
169
3M
MMM
$91.8B
$87K 0.03%
737
– –
GS icon
170
Goldman Sachs
GS
$289B
$86K 0.03%
500
– –
TPR icon
171
Tapestry
TPR
$30.3B
$85K 0.03%
2,970
– –
ED icon
172
Consolidated Edison
ED
$41.4B
$84K 0.03%
1,271
– –
XLK icon
173
State Street Technology Select Sector SPDR ETF
XLK
$109B
$84K 0.03%
4,260
-1,888
-31% -$38.9K
LQD icon
174
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.3B
$83K 0.03%
720
+300
+71% +$34.7K
UPS icon
175
United Parcel Service
UPS
$88.9B
$82K 0.03%
832
-100
-11% -$9.88K
5 6
7
8 9

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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.