13F-HR filed by Klingman & Associates, LLC
Klingman & Associates, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-01-26, with 96 holding rows worth $329,491,000.
- Accession
- 0001606587-17-000047
- Filer
- CIK 1662449
- Filed
- 2017-01-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 96 entries on the cover page, a total value of $329,491,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $329,491,000 with VALUE read as thousands by filing date, 13F file number 028-17124. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 182,299 | $41,015,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 146,809 | $32,816,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 890,137 | $28,137,000 | thousands by filing date | |
| IJH | 464287507 | COM | 129,477 | $21,408,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 742,074 | $21,082,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 244,352 | $20,907,000 | thousands by filing date | |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 194,935 | $19,406,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 52,660 | $15,889,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 119,969 | $13,577,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 81,558 | $11,216,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 270,532 | $7,997,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 67,364 | $5,560,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 38,914 | $5,248,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 103,336 | $5,080,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 116,916 | $5,079,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 163,398 | $5,046,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 95,564 | $4,795,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 L | 73937B779 | COM | 113,657 | $4,726,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 98,500 | $4,454,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 47,342 | $4,193,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 84,500 | $3,011,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 50,520 | $2,917,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 21,633 | $2,692,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 81,408 | $2,003,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 127,997 | $1,901,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 135,892 | $1,879,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 21,667 | $1,782,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 18,502 | $1,670,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 36,333 | $1,605,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 92,357 | $1,331,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 12,979 | $1,315,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 35,533 | $1,271,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 17,845 | $1,092,000 | thousands by filing date | |
| VTI | 922908769 | COM | 9,242 | $1,066,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 33,407 | $1,056,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 25,205 | $941,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 25,101 | $917,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 16,664 | $901,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 9,443 | $804,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 53,397 | $785,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 11,463 | $776,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 11,296 | $758,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 15,600 | $716,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 6,880 | $683,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 7,677 | $662,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 13,055 | $651,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 19,260 | $626,000 | thousands by filing date | |
| Guggenheim S&P 500 Equal Weighted ETf | 78355W106 | Equity | 6,652 | $576,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 4,345 | $560,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 116,952 | $543,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 4,400 | $540,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 50,871 | $537,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 8,199 | $509,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 4,752 | $498,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,028 | $494,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 13,534 | $488,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 2,601 | $465,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 5,619 | $426,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,671 | $423,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 48,095 | $410,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,901 | $407,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 3,600 | $397,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2,770 | $365,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3,063 | $355,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,374 | $353,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 3,138 | $352,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 8,860 | $352,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 13,696 | $346,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,925 | $339,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 3,200 | $331,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 12,000 | $324,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 3,250 | $312,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 6,000 | $312,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 45,129 | $306,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 5,133 | $305,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 13,152 | $284,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,039 | $256,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 4,039 | $253,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 2,401 | $246,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 3,614 | $244,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 6,410 | $241,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,789 | $240,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,283 | $239,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 4,011 | $236,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,617 | $235,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,396 | $235,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 8,319 | $233,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,097 | $227,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,912 | $225,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,416 | $221,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,000 | $203,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 10,703 | $166,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 11,600 | $154,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 10,973 | $149,000 | thousands by filing date | principal |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 10,930 | $132,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 10,000 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-17-000047 | this filing | 2017-01-26 | acceptance time not in the bulk data set |