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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
CWB icon
176
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.41B
$81K 0.03%
1,816
– –
V icon
177
Visa
V
$677B
$80K 0.03%
1,152
-420
-27% -$30K
DXJ icon
178
WisdomTree Japan Hedged Equity Fund
DXJ
$7.07B
$79K 0.03%
1,638
– –
ILCV icon
179
iShares Morningstar Value ETF
ILCV
$1.31B
$79K 0.03%
2,062
-2
-0.1% -$81
BAC icon
180
Bank of America
BAC
$429B
$78K 0.03%
5,035
– –
BUD icon
181
AB InBev
BUD
$164B
$78K 0.03%
738
– –
ISCG icon
182
iShares Morningstar Small-Cap Growth ETF
ISCG
$957M
$77K 0.03%
3,600
– –
UAA icon
183
Under Armour
UAA
$3.01B
$77K 0.03%
1,611
-210
-12% -$9.91K
MCD icon
184
McDonald's
MCD
$193B
$75K 0.03%
765
– –
FLS icon
185
Flowserve
FLS
$8.94B
$74K 0.03%
1,800
– –
ISCV icon
186
iShares Morningstar Small-Cap Value ETF
ISCV
$695M
$74K 0.03%
1,983
– –
NRK icon
187
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$901M
– –
-5,664
Closed -$71.4K
TFC icon
188
Truist Financial
TFC
$63.9B
$71K 0.03%
2,000
– –
AWK icon
189
American Water Works
AWK
$27B
$70K 0.03%
1,288
– –
T icon
190
AT&T
T
$164B
$69K 0.03%
2,816
+307
+12% +$7.83K
LOW icon
191
Lowe's Companies
LOW
$121B
$68K 0.03%
1,000
– –
ACN icon
192
Accenture
ACN
$106B
$67K 0.03%
686
-293
-30% -$29.1K
VT icon
193
Vanguard Total World Stock ETF
VT
$75.3B
$66K 0.03%
1,195
– –
CTAS icon
194
Cintas
CTAS
$86.6B
$64K 0.03%
2,988
– –
FOF icon
195
Cohen & Steers Closed End Opportunity Fund
FOF
$369M
– –
-6,000
Closed -$69.7K
PYPL icon
196
PayPal
PYPL
$49.9B
$64K 0.03%
+2,070
New +$74.1K
SO icon
197
Southern Company
SO
$108B
$63K 0.02%
1,416
– –
PARA
198
DELISTED
Paramount Global Class B
PARA
$62K 0.02%
1,564
– –
DGS icon
199
WisdomTree Emerging Markets SmallCap Dividend Fund
DGS
$1.66B
$60K 0.02%
1,698
– –
AGN
200
DELISTED
Allergan plc
AGN
$60K 0.02%
222
-27
-11% -$8.29K
6 7
8
9 10

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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.