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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
+6.81%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$3.24B
AUM Growth
+$294M
Cap. Flow
+$124M
Cap. Flow %
3.84%
Top 10 Hldgs %
18.07%
Holding
4,077
New
197
Increased
1,450
Reduced
1,165
Closed
217

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$71.2M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$68.7M
3
SSO icon
ProShares Ultra S&P500
SSO
+$38.6M
4
MVV icon
ProShares Ultra MidCap400
MVV
+$37.6M
5
IVW icon
iShares S&P 500 Growth ETF
IVW
+$19.2M

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$63M
2
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$59.3M
3
UWM icon
ProShares Ultra Russell2000
UWM
+$38.1M
4
IGIB icon
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
+$32.9M
5
UST icon
ProShares Ultra 7-10 Year Treasury
UST
+$22.1M

Sector Composition

Rank Sector Weight
1 Energy 4.75%
2 Industrials 4.34%
3 Technology 4.01%
4 Consumer Staples 3.87%
5 Healthcare 3.8%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EPOL icon
3751
iShares MSCI Poland ETF
EPOL
$817M
$0 ﹤0.01%
12
-22
-65% -$671
EQS icon
3752
Equus Total Return
EQS
$16.1M
– –
-405
Closed -$1K
EVG
3753
Eaton Vance Short Duration Diversified Income Fund
EVG
$143M
– –
-377
Closed -$6K
EWO icon
3754
iShares MSCI Austria ETF
EWO
$185M
– –
-70
Closed -$1K
EWQ icon
3755
iShares MSCI France ETF
EWQ
$334M
– –
-146
Closed -$4K
FENG
3756
Phoenix New Media
FENG
$18.5M
– –
-12
Closed -$1K
FMNB icon
3757
Farmers National Banc Corp
FMNB
$931M
– –
-2,499
Closed -$16K
FNDX icon
3758
Schwab Fundamental US Large Company Index ETF
FNDX
$27.4B
– –
-600
Closed -$5K
FORM icon
3759
FormFactor
FORM
$8.79B
– –
-1,000
Closed -$7K
GDEN
3760
DELISTED
Golden Entertainment
GDEN
$0 ﹤0.01%
37
– –
GEG icon
3761
Great Elm Group
GEG
$67.4M
$0 ﹤0.01%
+2
New +$37
GFI icon
3762
Gold Fields
GFI
$36.8B
$0 ﹤0.01%
43
– –
GIGM icon
3763
GigaMedia
GIGM
$16.4M
$0 ﹤0.01%
100
– –
GILT icon
3764
Gilat Satellite Networks
GILT
$832M
– –
-10
Closed –
GNE icon
3765
Genie Energy
GNE
$381M
– –
-1,271
Closed -$12K
GOF icon
3766
Guggenheim Strategic Opportunities Fund
GOF
$2.26B
– –
-4,550
Closed -$100K
GPRE icon
3767
Green Plains
GPRE
$1.06B
– –
-2,000
Closed -$32K
HEQ
3768
John Hancock Hedged Equity & Income Fund
HEQ
$141M
– –
-29
Closed –
STRR
3769
Star Equity Holdings
STRR
$41.7M
– –
-1
Closed –
IAT icon
3770
iShares US Regional Banks ETF
IAT
$678M
– –
-100
Closed -$3K
INDY icon
3771
iShares S&P India Nifty 50 Index Fund
INDY
$565M
– –
-10
Closed –
INVA icon
3772
Innoviva
INVA
$1.49B
– –
-248
Closed -$8K
IQV icon
3773
IQVIA
IQV
$39.8B
– –
-1
Closed –
JRI icon
3774
Nuveen Real Asset Income & Growth Fund
JRI
$352M
– –
-1,804
Closed -$34K
JVA icon
3775
Coffee Holding Co
JVA
$19.9M
– –
-700
Closed -$4K
149 150
151
152 153

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HAM
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CM
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TRAM
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CONA
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CBU
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Ladenburg Thalmann Financial Services's Q4 2013 Portfolio in Review

As of Q4 2013, Ladenburg Thalmann Financial Services held 4,077 positions worth $3.24B, up 10% from $2.95B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

Ladenburg Thalmann Financial Services deployed $124M of net new capital in Q4 2013, opening 197 new positions and adding to 1,450 existing holdings. Its largest new stake was COLUMBIA PROPERTY TRUST, INC.: 298,838 shares worth $7.47M.

By sector, the portfolio is most concentrated in Energy at 4.8% of assets, up from 4.7% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was iShares Russell 2000 ETF, an estimated $63M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q4 2013 buy was COLUMBIA PROPERTY TRUST, INC.: 298,838 shares worth $7.47M.
  • Ladenburg Thalmann Financial Services added most to iShares Core S&P 500 ETF in Q4 2013, an estimated $71.2M increase.
  • Ladenburg Thalmann Financial Services's biggest Q4 2013 reduction was iShares Russell 2000 ETF, cutting an estimated $63M.
  • Ladenburg Thalmann Financial Services fully exited ProShares Ultra 7-10 Year Treasury in Q4 2013, selling an estimated $22.1M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 18% of its $3.24B portfolio in Q4 2013.
  • Ladenburg Thalmann Financial Services opened 197 new positions and closed 217 in Q4 2013.
  • Ladenburg Thalmann Financial Services's portfolio value rose 10% quarter-over-quarter to $3.24B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q4 2013, filed 14 Feb 2014.