13F-HR filed by Klingman & Associates, LLC
Klingman & Associates, LLC filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-01-28, with 107 holding rows worth $444,040,000.
- Accession
- 0001606587-19-000083
- Filer
- CIK 1662449
- Filed
- 2019-01-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 108 entries on the cover page, a total value of $444,040,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $444,040,000 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 | 292,336 | $73,555,000 | thousands by filing date | |
| IJH | 464287507 | COM | 226,291 | $37,578,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 139,603 | $34,890,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 1,363,564 | $27,149,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 310,993 | $21,558,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 442,882 | $21,223,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 230,600 | $20,643,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 184,801 | $18,770,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 306,165 | $15,262,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 49,762 | $15,062,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 727,081 | $14,374,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 523,329 | $11,681,000 | thousands by filing date | |
| Invesco S&P 500 Revenue ETF | 68386C104 | Exchange Traded Fund | 202,855 | $9,441,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 73,216 | $8,018,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 41,543 | $6,553,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 163,398 | $6,333,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 109,244 | $5,724,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 254,078 | $5,074,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 67,411 | $5,027,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 93,199 | $5,016,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 35,798 | $4,793,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 90,676 | $4,230,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 42,722 | $3,816,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 132,593 | $3,807,000 | thousands by filing date | |
| VTI | 922908769 | COM | 27,108 | $3,460,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 73,159 | $3,455,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 140,455 | $2,833,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 19,951 | $2,767,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 41,713 | $2,452,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 80,000 | $2,378,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 43,793 | $1,996,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 87,347 | $1,993,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 47,644 | $1,768,000 | thousands by filing date | |
| ISHARES TR | 46429B663 | CORE HIGH DV ETF | 20,376 | $1,719,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 25,349 | $1,690,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 7,105 | $1,633,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 14,987 | $1,522,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 6,846 | $1,398,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 34,498 | $1,314,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 110,502 | $1,208,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 8,912 | $1,176,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,985 | $1,158,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 5,886 | $1,110,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 7,933 | $1,024,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 18,772 | $941,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 9,112 | $892,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 10,219 | $850,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 7,883 | $796,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 11,529 | $789,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 512 | $769,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 6,880 | $767,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C203 | S&P MDCP 400 REV | 13,674 | $701,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 4,400 | $690,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 11,233 | $644,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 3,666 | $630,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 6,202 | $605,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 11,655 | $604,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 6,150 | $562,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 27,063 | $558,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 20,063 | $553,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 27,922 | $549,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 12,134 | $530,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 11,854 | $530,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 12,955 | $520,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 473 | $490,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 4,294 | $474,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 9,804 | $456,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 3,075 | $425,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 32,405 | $398,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 9,892 | $386,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,510 | $385,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 4,720 | $368,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 6,761 | $365,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 8,860 | $363,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 3,600 | $359,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,812 | $350,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 3,200 | $343,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 3,342 | $342,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 3,685 | $340,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 2,574 | $340,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 882 | $337,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 9,464 | $334,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 5,205 | $327,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 3,415 | $323,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 13,152 | $309,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 4,016 | $307,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 32,361 | $304,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 11,861 | $298,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 13,696 | $294,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 5,101 | $287,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 6,893 | $286,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 819 | $282,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 13,441 | $279,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 17,800 | $262,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 31,800 | $237,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 2,161 | $235,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,500 | $234,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 5,773 | $217,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 1,930 | $216,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 3,425 | $213,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,594 | $209,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 3,533 | $207,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 7,995 | $205,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 38,000 | $171,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 10,685 | $128,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 15,000 | $124,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 14,000 | $120,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001606587-19-000083 | this filing | 2019-01-28 | acceptance time not in the bulk data set |