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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
BKN
201
DELISTED
BlackRock Investment Quality Municipal Trust
BKN
– –
-3,823
Closed -$56.8K
JTP
202
DELISTED
NUVEEN QUALITY PFD INCOME FD
JTP
– –
-7,000
Closed -$56.7K
STL
203
DELISTED
Sterling Bancorp
STL
$54K 0.02%
+3,653
New +$52.9K
MS icon
204
Morgan Stanley
MS
$319B
$53K 0.02%
1,694
– –
IBME
205
DELISTED
ISHARES IBONDS SEP 2016 TERM MUNI BOND ETF
IBME
$53K 0.02%
2,000
– –
COP icon
206
ConocoPhillips
COP
$144B
$51K 0.02%
1,066
– –
NUE icon
207
Nucor
NUE
$58.3B
$50K 0.02%
1,332
– –
ELME
208
Elme Communities
ELME
$145M
$49K 0.02%
2,000
– –
ET icon
209
Energy Transfer Partners
ET
$69.5B
$49K 0.02%
2,400
– –
SCI icon
210
Service Corp International
SCI
$11.8B
$46K 0.02%
1,703
– –
DBEM icon
211
Xtrackers MSCI Emerging Markets Hedged Equity ETF
DBEM
$101M
$43K 0.02%
2,325
-12,410
-84% -$243K
OMC icon
212
Omnicom Group
OMC
$23.5B
$43K 0.02%
662
– –
EIX icon
213
Edison International
EIX
$30.3B
$42K 0.02%
666
– –
CB icon
214
Chubb
CB
$140B
$40K 0.02%
389
-207
-35% -$21.6K
DLN icon
215
WisdomTree US LargeCap Dividend Fund
DLN
$6.21B
$40K 0.02%
1,200
– –
GIS icon
216
General Mills
GIS
$20.2B
$40K 0.02%
722
– –
LLY icon
217
Eli Lilly
LLY
$1.08T
$38K 0.01%
462
– –
BNY
218
Bank of New York Mellon
BNY
$103B
$37K 0.01%
965
– –
PEG icon
219
Public Service Enterprise Group
PEG
$38.7B
$36K 0.01%
864
– –
VLO icon
220
Valero Energy
VLO
$89.5B
$36K 0.01%
600
– –
YHOO
221
DELISTED
Yahoo Inc
YHOO
$36K 0.01%
1,250
– –
BDJ icon
222
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
– –
-4,919
Closed -$37.7K
ESRX
223
DELISTED
Express Scripts Holding Company
ESRX
$35K 0.01%
434
– –
MJN
224
DELISTED
Mead Johnson Nutrition Company
MJN
$35K 0.01%
511
-174
-25% -$14.3K
ELD icon
225
WisdomTree Emerging Markets Local Debt Fund
ELD
$141M
$34K 0.01%
1,000
– –
7 8
9
10 11

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CC
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HFM
Harvest Fund Management Beijing, China $2.35B AUM 49.85% 1-Year Est. Return
EC
EcoR1 Capital San Francisco, California $2.36B AUM 204.53% 1-Year Est. Return
G
GenTrust Miami, Florida $2.34B AUM 18.43% 1-Year Est. Return
MC
Moors & Cabot Boston, Massachusetts $2.34B AUM 30.42% 1-Year Est. Return
SCA
STALEY CAPITAL ADVISERS Pittsburgh, Pennsylvania $2.36B AUM 23.72% 1-Year Est. Return
BAM
Berkshire Asset Management Wilkes Barre, Pennsylvania $2.33B AUM 19.33% 1-Year Est. Return

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.