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LTFS

Ladenburg Thalmann Financial Services Portfolio holdings

AUM $15.9B
1-Year Est. Return 27.61%
This Fund
S&P 500
This Quarter Est. Return
+4.59%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$2.95B
AUM Growth
+$147M
Cap. Flow
+$36.4M
Cap. Flow %
1.23%
Top 10 Hldgs %
18.66%
Holding
4,031
New
225
Increased
1,492
Reduced
1,087
Closed
151

Top Buys

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$68M
2
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$30.7M
3
IWO icon
iShares Russell 2000 Growth ETF
IWO
+$29.2M
4
UST icon
ProShares Ultra 7-10 Year Treasury
UST
+$21.5M
5
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$15.8M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$50.1M
2
SSO icon
ProShares Ultra S&P500
SSO
+$33.5M
3
EMLC icon
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
+$27.6M
4
GLD icon
SPDR Gold Trust
GLD
+$21.4M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$20.5M

Sector Composition

Rank Sector Weight
1 Energy 4.74%
2 Industrials 4.14%
3 Technology 3.92%
4 Consumer Staples 3.86%
5 Healthcare 3.81%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OCZ
3651
DELISTED
OCZ TECHNOLOGY GROUP INC COM STK NEW (DE)
OCZ
$1K ﹤0.01%
1,000
– –
MSPD
3652
DELISTED
MINDSPEED TECHNOLOGIES INC COM STK
MSPD
$1K ﹤0.01%
186
– –
HIS
3653
DELISTED
BLACKROCK HIGH INCM SHS SHS BEN INT
HIS
$1K ﹤0.01%
319
– –
NEWL
3654
DELISTED
NEWLEAD HOLDINGS LTD NEW (BMU)
NEWL
– –
0
– –
CXPO
3655
DELISTED
Crimson Exploration Inc. New Common Stock
CXPO
$1K ﹤0.01%
300
– –
QTWW
3656
DELISTED
QUANTUM FUEL SYS TECHNOLOGIES WORLDWIDE INC COM STK (DE)
QTWW
$1K ﹤0.01%
164
-2
-1% -$5
IVAN
3657
DELISTED
IVANHOE ENERGY INC COM SHS (CDA)
IVAN
$1K ﹤0.01%
243
– –
ALTI
3658
DELISTED
Altair Nanotechnologies Inc
ALTI
$1K ﹤0.01%
531
– –
ASCMA
3659
DELISTED
Ascent Capital Group, Inc. Series A
ASCMA
$1K ﹤0.01%
7
– –
CTIC
3660
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$1K ﹤0.01%
35
– –
CPSL
3661
DELISTED
CHINA PRECISION STEEL INC COM STK NEW (DE)
CPSL
$1K ﹤0.01%
+1,025
New +$1.39K
EGLE
3662
DELISTED
Eagle Bulk Shipping Inc.
EGLE
– –
0
– –
BTM
3663
DELISTED
OI S.A. SPON ADR REPSTG 3 PFD SHS (BRA)
BTM
$1K ﹤0.01%
813
– –
HAV
3664
DELISTED
HELIOS ADVANTAGE INCOME FD, INC
HAV
$1K ﹤0.01%
153
– –
HSA
3665
DELISTED
HELIOS STRATEGIC INCOME FD, INC
HSA
$1K ﹤0.01%
152
– –
RIT
3666
DELISTED
LMP REAL ESTATE INCOME FUND INC. COM
RIT
$1K ﹤0.01%
100
– –
MTL
3667
DELISTED
Mechel PAO American Depository Shares, each representing two ordinary shares (ADSs)
MTL
$1K ﹤0.01%
108
– –
AXJL
3668
DELISTED
WisdomTree Asia-Pacific ex-Japan Fund
AXJL
$1K ﹤0.01%
412
-217
-34% -$14.2K
BVSN
3669
DELISTED
Broadvision Inc Com
BVSN
$1K ﹤0.01%
70
– –
BBOX
3670
DELISTED
Black Box Corp
BBOX
$1K ﹤0.01%
+29
New +$823
CGG
3671
DELISTED
CGG
CGG
$1K ﹤0.01%
2
– –
SSN
3672
DELISTED
Samson Oil & Gas Limited
SSN
$1K ﹤0.01%
133
– –
YZC
3673
DELISTED
Yanzhou Coal Mining
YZC
$1K ﹤0.01%
+77
New +$645
LIWA
3674
DELISTED
LIHUA INTL INC COM STK (DE)
LIWA
$1K ﹤0.01%
200
– –
NORW
3675
DELISTED
Global X MSCI Norway ETF
NORW
$1K ﹤0.01%
43
– –
145 146
147
148 149

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Ladenburg Thalmann Financial Services's Q3 2013 Portfolio in Review

As of Q3 2013, Ladenburg Thalmann Financial Services held 4,031 positions worth $2.95B, up 5.3% from $2.8B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Ladenburg Thalmann Financial Services's Q3 2013 filing shows 225 new, 1,492 increased, 1,087 reduced and 151 closed positions. Its largest new stake was COLE REAL ESTATE INVESTMENTS, INC COM: 682,583 shares worth $8.34M. The largest sale was iShares Core S&P 500 ETF, an estimated $50.1M.

By sector, the portfolio is most concentrated in Energy at 4.7% of assets, down from 4.7% a quarter earlier, followed by Industrials and Technology.

  • Ladenburg Thalmann Financial Services's largest Q3 2013 buy was COLE REAL ESTATE INVESTMENTS, INC COM: 682,583 shares worth $8.34M.
  • Ladenburg Thalmann Financial Services added most to iShares 3-7 Year Treasury Bond ETF in Q3 2013, an estimated $68M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2013 reduction was iShares Core S&P 500 ETF, cutting an estimated $50.1M.
  • Ladenburg Thalmann Financial Services fully exited Arrow Dow Jones Global Yield ETF in Q3 2013, selling an estimated $464K.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 19% of its $2.95B portfolio in Q3 2013.
  • Ladenburg Thalmann Financial Services opened 225 new positions and closed 151 in Q3 2013.
  • Ladenburg Thalmann Financial Services's portfolio value rose 5.3% quarter-over-quarter to $2.95B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2013, filed 14 Nov 2013.