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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
ORCL icon
176
Oracle
ORCL
$345B
$59K 0.02%
1,500
– –
WFC icon
177
Wells Fargo
WFC
$264B
$58K 0.02%
1,303
– –
SE
178
DELISTED
Spectra Energy Corp Wi
SE
$58K 0.02%
1,357
– –
NKE icon
179
Nike
NKE
$62.5B
$57K 0.02%
1,088
– –
MS icon
180
Morgan Stanley
MS
$337B
$54K 0.02%
1,694
– –
IFLN
181
Invesco Bloomberg Enhanced Fallen Angels ETF
IFLN
$308M
$54K 0.02%
2,840
– –
YHOO
182
DELISTED
Yahoo Inc
YHOO
$54K 0.02%
1,250
– –
PKB icon
183
Invesco Building & Construction ETF
PKB
$441M
$52K 0.02%
2,000
– –
ILCG icon
184
iShares Morningstar Growth ETF
ILCG
$3.09B
$51K 0.02%
2,075
+5
+0.2% +$122
CB icon
185
Chubb
CB
$139B
$49K 0.01%
389
– –
EIX icon
186
Edison International
EIX
$30.3B
$48K 0.01%
666
– –
MPWR icon
187
Monolithic Power Systems
MPWR
$65.8B
$48K 0.01%
599
– –
PSX icon
188
Phillips 66
PSX
$83.3B
$48K 0.01%
600
+400
+200% +$31.1K
COP icon
189
ConocoPhillips
COP
$141B
$46K 0.01%
1,066
-778
-42% -$32.3K
DLN icon
190
WisdomTree US LargeCap Dividend Fund
DLN
$6.25B
$46K 0.01%
1,200
– –
GIS icon
191
General Mills
GIS
$19.5B
$46K 0.01%
722
– –
PRFZ icon
192
Invesco FTSE RAFI US 1500 Small-Mid ETF
PRFZ
$2.77B
$46K 0.01%
2,175
-550
-20% -$11.3K
ZTS icon
193
Zoetis
ZTS
$32.2B
$46K 0.01%
+875
New +$44.3K
OMC icon
194
Omnicom Group
OMC
$23.5B
$45K 0.01%
527
– –
TGT icon
195
Target
TGT
$63.7B
$45K 0.01%
650
– –
CWB icon
196
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.57B
$44K 0.01%
943
-96
-9% -$4.38K
MA icon
197
Mastercard
MA
$487B
$41K 0.01%
+400
New +$38.4K
BKN
198
DELISTED
BlackRock Investment Quality Municipal Trust
BKN
$40K 0.01%
2,323
– –
MJN
199
DELISTED
Mead Johnson Nutrition Company
MJN
$40K 0.01%
511
– –
BDJ icon
200
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
$39K 0.01%
4,919
– –
6 7
8
9 10

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NSCM
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ACG
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NSUP
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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.