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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
+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
IVV icon
1
iShares Core S&P 500 ETF
IVV
$886B
$37.1M 11.18%
170,572
+17,697
+12% +$3.85M
SPY icon
2
State Street SPDR S&P 500 ETF Trust
SPY
$787B
$33.5M 10.09%
154,909
-1,071
-0.7% -$231K
AMJ
3
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$28.2M 8.5%
895,391
+11,179
+1% +$352K
SDY icon
4
State Street SPDR S&P Dividend ETF
SDY
$21.7B
$21.3M 6.41%
252,131
-2,848
-1% -$243K
PRF icon
5
Invesco FTSE RAFI US 1000 ETF
PRF
$9.76B
$17.6M 5.31%
942,215
+16,410
+2% +$306K
TIP icon
6
iShares TIPS Bond ETF
TIP
$14.5B
$16.3M 4.92%
140,142
+12,058
+9% +$1.4M
IJH icon
7
iShares Core S&P Mid-Cap ETF
IJH
$123B
$16.2M 4.87%
522,670
+121,995
+30% +$3.77M
MDY icon
8
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27B
$15.8M 4.77%
56,098
+908
+2% +$256K
MLPN
9
DELISTED
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
$15.8M 4.75%
729,764
+38,967
+6% +$829K
IDV icon
10
iShares International Select Dividend ETF
IDV
$8.3B
$8.49M 2.56%
283,259
-11,172
-4% -$330K
IJR icon
11
iShares Core S&P Small-Cap ETF
IJR
$110B
$8.49M 2.56%
136,724
+18,482
+16% +$1.13M
VNQ icon
12
Vanguard Real Estate ETF
VNQ
$39.2B
$5.85M 1.76%
67,412
-3,584
-5% -$320K
RWL icon
13
Invesco S&P 500 Revenue ETF
RWL
$9.52B
$5.01M 1.51%
119,972
– –
IWM icon
14
iShares Russell 2000 ETF
IWM
$81.6B
$4.85M 1.46%
39,072
-203
-0.5% -$24.7K
CEM
15
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$4.85M 1.46%
59,610
-1,464
-2% -$117K
SPLV icon
16
Invesco S&P 500 Low Volatility ETF
SPLV
$7.11B
$4.72M 1.42%
113,657
-12,000
-10% -$508K
USMV icon
17
iShares MSCI USA Min Vol Factor ETF
USMV
$23.1B
$4.58M 1.38%
100,885
+8,572
+9% +$397K
PJT icon
18
PJT Partners
PJT
$4.24B
$4.36M 1.31%
160,000
– –
NEAR icon
19
iShares Short Maturity Bond ETF
NEAR
$4.8B
$4.28M 1.29%
85,351
+74,361
+677% +$3.73M
DVY icon
20
iShares Select Dividend ETF
DVY
$23.8B
$4.08M 1.23%
47,671
-340
-0.7% -$29.3K
VTIP icon
21
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
$3.54M 1.07%
71,301
+21,557
+43% +$1.07M
EFA icon
22
iShares MSCI EAFE ETF
EFA
$77.1B
$2.77M 0.83%
46,870
-125
-0.3% -$7.25K
VTI icon
23
Vanguard Total Stock Market ETF
VTI
$661B
$2.67M 0.8%
24,000
– –
IWB icon
24
iShares Russell 1000 ETF
IWB
$48.3B
$2.57M 0.77%
21,313
-10
-0% -$1.2K
VRP icon
25
Invesco Variable Rate Preferred ETF
VRP
$3B
$2.13M 0.64%
83,591
+58,256
+230% +$1.48M
1
2 3 4 5

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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.