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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
-6.18%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$4.85B
AUM Growth
-$562M
Cap. Flow
-$175M
Cap. Flow %
-3.61%
Top 10 Hldgs %
13.92%
Holding
5,011
New
208
Increased
1,785
Reduced
1,765
Closed
239

Top Buys

Rank Stock Value
1
IVW icon
iShares S&P 500 Growth ETF
IVW
+$56.4M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$41.9M
3
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$20.1M
4
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$18.9M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$15.4M

Top Sells

Rank Stock Value
1
FNCL icon
Fidelity MSCI Financials Index ETF
FNCL
+$42.6M
2
FDIS icon
Fidelity MSCI Consumer Discretionary Index ETF
FDIS
+$28.5M
3
FENY icon
Fidelity MSCI Energy Index ETF
FENY
+$25.7M
4
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$22.4M
5
IWO icon
iShares Russell 2000 Growth ETF
IWO
+$21.5M

Sector Composition

Rank Sector Weight
1 Financials 5.76%
2 Technology 5.43%
3 Industrials 5.06%
4 Consumer Staples 4.97%
5 Healthcare 4.71%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HIVE
4801
DELISTED
Aerohive Networks
HIVE
– –
-20,000
Closed -$140K
UQM
4802
DELISTED
UQM Technologies, Inc.
UQM
– –
-2,992
Closed -$3K
SFS
4803
DELISTED
Smart & Final Stores, Inc.
SFS
– –
-4,700
Closed -$84K
EPE
4804
DELISTED
EP Energy Corporation
EPE
$0 ﹤0.01%
2
– –
KONA
4805
DELISTED
Kona Grill, Inc.
KONA
– –
-18,500
Closed -$359K
IPCI
4806
DELISTED
Intellipharmaceuticals International Inc.
IPCI
$0 ﹤0.01%
1
– –
PUW
4807
DELISTED
Invesco WilderHill Progressive Energy ETF
PUW
– –
-643
Closed -$17K
ARDM
4808
DELISTED
Aradigm Corp Common Stock
ARDM
$0 ﹤0.01%
2
– –
CYHHZ
4809
DELISTED
Community Health Systems, Inc. Series A Contingent Value Rights
CYHHZ
$0 ﹤0.01%
400
– –
ABCD
4810
DELISTED
Cambium Learning Group, Inc.
ABCD
– –
-20
Closed –
RSYS
4811
DELISTED
Radisys Corp
RSYS
$0 ﹤0.01%
150
– –
OCLR
4812
DELISTED
Oclaro Inc.
OCLR
$0 ﹤0.01%
23
– –
KMG
4813
DELISTED
KMG Chemicals Inc
KMG
$0 ﹤0.01%
2
– –
DNO
4814
DELISTED
United States Short Oil Fund
DNO
– –
-200
Closed -$10K
KODK.WS
4815
DELISTED
Eastman Kodak Company
KODK.WS
$0 ﹤0.01%
12
-26
-68% -$81
TAX
4816
DELISTED
Liberty Tax, Inc. Class A
TAX
– –
-15
Closed –
KND
4817
DELISTED
Kindred Healthcare
KND
$0 ﹤0.01%
25
-1,330
-98% -$26.9K
FCRE
4818
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
$0 ﹤0.01%
15
– –
GNRT
4819
DELISTED
Gener8 Maritime, Inc.
GNRT
$0 ﹤0.01%
25
– –
TAO
4820
DELISTED
Invesco China Real Estate ETF
TAO
– –
-510
Closed -$12K
PZE
4821
DELISTED
Petrobras Argentina S A
PZE
– –
-1,557
Closed -$10K
GCH
4822
DELISTED
Aberdeen Greater China Fund
GCH
– –
-997
Closed -$10K
WLB
4823
DELISTED
Westmoreland Coal Company
WLB
– –
-854
Closed -$18K
NRCIB
4824
DELISTED
National Research Corp Class B
NRCIB
– –
-350
Closed -$12K
IBLN
4825
DELISTED
Direxion iBillionaire Index ETF
IBLN
$0 ﹤0.01%
1
-13,570
-100% -$339K
191 192
193
194 195

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HAM
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Ladenburg Thalmann Financial Services's Q3 2015 Portfolio in Review

As of Q3 2015, Ladenburg Thalmann Financial Services held 5,011 positions worth $4.85B, down 10% from $5.41B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

Ladenburg Thalmann Financial Services withdrew a net $175M in Q3 2015, closing 239 positions and reducing 1,765 holdings. Its most notable exit was KRAFT FOODS GROUP INC COM STK (VA), an estimated $8.7M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.8% of assets, up from 5.7% a quarter earlier, followed by Technology and Industrials.

Against the trend, Ladenburg Thalmann Financial Services opened a new position in Kraft Heinz worth $7.29M.

  • Ladenburg Thalmann Financial Services's largest Q3 2015 buy was Kraft Heinz: 103,306 shares worth $7.29M.
  • Ladenburg Thalmann Financial Services added most to iShares S&P 500 Growth ETF in Q3 2015, an estimated $56.4M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2015 reduction was Fidelity MSCI Financials Index ETF, cutting an estimated $42.6M.
  • Ladenburg Thalmann Financial Services fully exited KRAFT FOODS GROUP INC COM STK (VA) in Q3 2015, selling an estimated $8.7M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 14% of its $4.85B portfolio in Q3 2015.
  • Ladenburg Thalmann Financial Services opened 208 new positions and closed 239 in Q3 2015.
  • Ladenburg Thalmann Financial Services's portfolio value fell 10% quarter-over-quarter to $4.85B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2015, filed 16 Nov 2015.