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KA

Klingman & Associates Portfolio holdings

AUM $2.09B
1-Year Est. Return 16.49%
This Fund
S&P 500
This Quarter Est. Return
-9.61%
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
$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
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$787B
$31.9M 12.5%
166,393
-375
-0.2% -$76.1K
IVV icon
2
iShares Core S&P 500 ETF
IVV
$886B
$24M 9.43%
124,760
+12,556
+11% +$2.56M
SDY icon
3
State Street SPDR S&P Dividend ETF
SDY
$21.7B
$18.7M 7.32%
258,809
+320
+0.1% +$24.1K
PRF icon
4
Invesco FTSE RAFI US 1000 ETF
PRF
$9.76B
$15.4M 6.02%
926,380
+104,650
+13% +$1.84M
AMJ
5
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$14.9M 5.85%
490,546
-2,991
-0.6% -$108K
MLPN
6
DELISTED
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
$12.7M 4.99%
619,559
+21,302
+4% +$532K
MDY icon
7
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27B
$11.7M 4.58%
46,919
-153
-0.3% -$40.5K
IDV icon
8
iShares International Select Dividend ETF
IDV
$8.3B
$8.63M 3.38%
306,760
+2,600
+0.9% +$79.4K
VNQ icon
9
Vanguard Real Estate ETF
VNQ
$39.2B
$6.5M 2.55%
86,037
+1,313
+2% +$101K
IJH icon
10
iShares Core S&P Mid-Cap ETF
IJH
$123B
$5.71M 2.24%
208,970
+43,955
+27% +$1.28M
CEM
11
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
– –
-47,248
Closed -$5.09M
SPLV icon
12
Invesco S&P 500 Low Volatility ETF
SPLV
$7.11B
$4.89M 1.92%
135,917
– –
TIP icon
13
iShares TIPS Bond ETF
TIP
$14.5B
$4.71M 1.85%
42,528
+8,267
+24% +$922K
RWL icon
14
Invesco S&P 500 Revenue ETF
RWL
$9.52B
$4.61M 1.81%
+122,429
New +$4.87M
IJR icon
15
iShares Core S&P Small-Cap ETF
IJR
$110B
$4.19M 1.64%
78,644
+24,068
+44% +$1.37M
DVY icon
16
iShares Select Dividend ETF
DVY
$23.8B
$3.5M 1.37%
48,095
– –
VEU icon
17
Vanguard FTSE All-World ex-US ETF
VEU
$66.5B
$2.69M 1.05%
63,042
+10,916
+21% +$504K
ENH
18
DELISTED
Endurance Specialty Holdings Ltd
ENH
$2.47M 0.97%
40,426
– –
USMV icon
19
iShares MSCI USA Min Vol Factor ETF
USMV
$23.1B
$2.44M 0.96%
61,661
+30,000
+95% +$1.23M
VTI icon
20
Vanguard Total Stock Market ETF
VTI
$661B
$2.37M 0.93%
24,000
– –
IWM icon
21
iShares Russell 2000 ETF
IWM
$81.6B
$2.23M 0.88%
20,445
– –
HDV
22
iShares Core High Dividend ETF
HDV
$14.2B
$2.08M 0.82%
149,725
-4,750
-3% -$68.8K
EFAV icon
23
iShares MSCI EAFE Min Vol Factor ETF
EFAV
$5.22B
$2.01M 0.79%
32,265
+3,075
+11% +$200K
EFA icon
24
iShares MSCI EAFE ETF
EFA
$77.1B
$1.78M 0.7%
31,135
-412
-1% -$25.4K
PFF icon
25
iShares Preferred and Income Securities ETF
PFF
$13.3B
$1.78M 0.7%
46,095
+499
+1% +$19.5K
1
2 3 4 5

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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.