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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
+3.15%
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
$329M
AUM Growth
-$2.49M
Cap. Flow
-$12.2M
Cap. Flow %
-3.71%
Top 10 Hldgs %
68.42%
Holding
378
New
4
Increased
19
Reduced
44
Closed
281

Top Buys

Rank Stock Value
1
MLPI
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
+$20.2M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$3.95M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$2.58M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$1.7M
5
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$1.58M

Top Sells

Rank Stock Value
1
MLPN
Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020
MLPN
+$15.8M
2
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$4.85M
3
TIP icon
iShares TIPS Bond ETF
TIP
+$2.3M
4
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.77M
5
VTI icon
Vanguard Total Stock Market ETF
VTI
+$1.66M

Sector Composition

Rank Sector Weight
1 Financials 3.29%
2 Energy 0.58%
3 Healthcare 0.47%
4 Consumer Staples 0.43%
5 Industrials 0.42%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVV icon
1
iShares Core S&P 500 ETF
IVV
$876B
$41M 12.45%
182,299
+11,727
+7% +$2.58M
SPY icon
2
State Street SPDR S&P 500 ETF Trust
SPY
$778B
$32.8M 9.96%
146,809
-8,100
-5% -$1.77M
AMJ
3
DELISTED
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
$28.1M 8.54%
890,137
-5,254
-0.6% -$160K
IJH icon
4
iShares Core S&P Mid-Cap ETF
IJH
$123B
$21.4M 6.5%
647,385
+124,715
+24% +$3.95M
MLPI
5
DELISTED
UBS E-TRACS Alerian MLP Infrastructure ETN
MLPI
$21.1M 6.4%
+742,074
New +$20.2M
SDY icon
6
State Street SPDR S&P Dividend ETF
SDY
$21.9B
$20.9M 6.35%
244,352
-7,779
-3% -$654K
PRF icon
7
Invesco FTSE RAFI US 1000 ETF
PRF
$9.73B
$19.4M 5.89%
974,675
+32,460
+3% +$624K
MDY icon
8
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$27B
$15.9M 4.82%
52,660
-3,438
-6% -$994K
TIP icon
9
iShares TIPS Bond ETF
TIP
$14.5B
$13.6M 4.12%
119,969
-20,173
-14% -$2.3M
IJR icon
10
iShares Core S&P Small-Cap ETF
IJR
$109B
$11.2M 3.4%
163,116
+26,392
+19% +$1.7M
IDV icon
11
iShares International Select Dividend ETF
IDV
$8.25B
$8M 2.43%
270,532
-12,727
-4% -$372K
VNQ icon
12
Vanguard Real Estate ETF
VNQ
$39.9B
$5.56M 1.69%
67,364
-48
-0.1% -$3.91K
IWM icon
13
iShares Russell 2000 ETF
IWM
$80.9B
$5.25M 1.59%
38,914
-158
-0.4% -$20.2K
VTIP icon
14
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
$19.1B
$5.08M 1.54%
103,336
+32,035
+45% +$1.58M
RWL icon
15
Invesco S&P 500 Revenue ETF
RWL
$9.51B
$5.08M 1.54%
116,916
-3,056
-3% -$130K
PJT icon
16
PJT Partners
PJT
$4.37B
$5.05M 1.53%
163,398
+3,398
+2% +$97.7K
NEAR icon
17
iShares Short Maturity Bond ETF
NEAR
$4.8B
$4.79M 1.46%
95,564
+10,213
+12% +$512K
SPLV icon
18
Invesco S&P 500 Low Volatility ETF
SPLV
$7.2B
$4.73M 1.43%
113,657
– –
USMV icon
19
iShares MSCI USA Min Vol Factor ETF
USMV
$23.2B
$4.45M 1.35%
98,500
-2,385
-2% -$106K
DVY icon
20
iShares Select Dividend ETF
DVY
$24B
$4.19M 1.27%
47,342
-329
-0.7% -$28.3K
CFG icon
21
Citizens Financial Group
CFG
$30.4B
$3.01M 0.91%
84,500
– –
EFA icon
22
iShares MSCI EAFE ETF
EFA
$76.4B
$2.92M 0.89%
50,520
+3,650
+8% +$210K
IWB icon
23
iShares Russell 1000 ETF
IWB
$47.7B
$2.69M 0.82%
21,633
+320
+2% +$38.9K
VRP icon
24
Invesco Variable Rate Preferred ETF
VRP
$2.99B
$2M 0.61%
81,408
-2,183
-3% -$54.3K
MLPX icon
25
Global X MLP & Energy Infrastructure ETF
MLPX
$3.68B
$1.9M 0.58%
42,666
-51
-0.1% -$2.25K
1
2 3 4 5

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Klingman & Associates's Q4 2016 Portfolio in Review

As of Q4 2016, Klingman & Associates held 378 positions worth $329M, down 0.75% from $332M the previous quarter. Its ten largest holdings account for 68% of the portfolio.

Klingman & Associates withdrew a net $12.2M in Q4 2016, closing 281 positions and reducing 44 holdings. Its most notable exit was Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020, an estimated $15.8M position sold in full.

By sector, the portfolio is most concentrated in Financials at 3.3% of assets, down from 3.3% a quarter earlier, followed by Energy and Healthcare.

Against the trend, Klingman & Associates opened a new position in UBS E-TRACS Alerian MLP Infrastructure ETN worth $21.1M.

  • Klingman & Associates's largest Q4 2016 buy was UBS E-TRACS Alerian MLP Infrastructure ETN: 742,074 shares worth $21.1M.
  • Klingman & Associates added most to iShares Core S&P Mid-Cap ETF in Q4 2016, an estimated $3.95M increase.
  • Klingman & Associates's biggest Q4 2016 reduction was iShares TIPS Bond ETF, cutting an estimated $2.3M.
  • Klingman & Associates fully exited Credit Suisse X- Links Cushing MLP Infrastructure ETN's due April 20, 2020 in Q4 2016, selling an estimated $15.8M.
  • Klingman & Associates's ten largest holdings make up 68% of its $329M portfolio in Q4 2016.
  • Klingman & Associates opened 4 new positions and closed 281 in Q4 2016.
  • Klingman & Associates's portfolio value fell 0.75% quarter-over-quarter to $329M.

Based on Klingman & Associates's 13F filing for Q4 2016, filed 26 Jan 2017.