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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
+4.39%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$6.68B
AUM Growth
+$415M
Cap. Flow
+$257M
Cap. Flow %
3.85%
Top 10 Hldgs %
13.36%
Holding
5,148
New
230
Increased
2,091
Reduced
1,537
Closed
230

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$65.5M
2
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$39.8M
3
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$39.7M
4
IWN icon
iShares Russell 2000 Value ETF
IWN
+$38.9M
5
ANGL icon
VanEck Fallen Angel High Yield Bond ETF
ANGL
+$18.5M

Top Sells

Rank Stock Value
1
IWS icon
iShares Russell Mid-Cap Value ETF
IWS
+$72.2M
2
HDV
iShares Core High Dividend ETF
HDV
+$37.9M
3
IVE icon
iShares S&P 500 Value ETF
IVE
+$19.1M
4
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$19M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$18.3M

Sector Composition

Rank Sector Weight
1 Consumer Staples 5.3%
2 Financials 5.29%
3 Technology 5.07%
4 Industrials 5.07%
5 Healthcare 4.51%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HDP
4926
DELISTED
Hortonworks, Inc.
HDP
– –
-1,181
Closed -$13K
DFBG
4927
DELISTED
Differential Brands Group Inc
DFBG
– –
-157
Closed –
EGLT
4928
DELISTED
Egalet Corporation
EGLT
– –
-1,400
Closed -$7K
KODK.WS
4929
DELISTED
Eastman Kodak Company
KODK.WS
$0 ﹤0.01%
5
– –
IMNP
4930
DELISTED
Immune Pharmaceuticals Inc.
IMNP
$0 ﹤0.01%
100
+50
+100% +$369
MBVX
4931
DELISTED
MABVAX THERAPEUTICS HLDGS INC
MBVX
$0 ﹤0.01%
+2
New +$30
FCRE
4932
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
$0 ﹤0.01%
15
– –
LAYN
4933
DELISTED
Layne Christensen Co
LAYN
$0 ﹤0.01%
33
– –
LQ
4934
DELISTED
La Quinta Holdings Inc.
LQ
$0 ﹤0.01%
1
-34
-97% -$395
SPIL
4935
DELISTED
Siliconware Precision Industries Co Ltd
SPIL
– –
-11
Closed –
DYN
4936
DELISTED
Dynegy, Inc.
DYN
$0 ﹤0.01%
2
-23
-92% -$326
DEL
4937
DELISTED
Deltic Timber
DEL
– –
-200
Closed -$13K
SCMP
4938
DELISTED
Sucampo Pharmaceuticals, Inc.
SCMP
– –
-100
Closed -$1K
AAAP
4939
DELISTED
Advanced Accelerator Applications S.A.
AAAP
– –
-11
Closed –
ACTA
4940
DELISTED
Actua Corp
ACTA
$0 ﹤0.01%
21
-5
-19% -$51
GIGA
4941
DELISTED
Giga-Tronics Inc
GIGA
$0 ﹤0.01%
150
– –
BSTG
4942
DELISTED
Biostage, Inc. Common Stock
BSTG
$0 ﹤0.01%
75
– –
SGBK
4943
DELISTED
Stonegate Bank
SGBK
– –
-46
Closed -$1K
MYCC
4944
DELISTED
ClubCorp Holdings, Inc.
MYCC
$0 ﹤0.01%
2
– –
UNXL
4945
DELISTED
Uni-Pixel, Inc.
UNXL
$0 ﹤0.01%
+150
New +$216
MACK
4946
DELISTED
Merrimack Pharmaceuticals, Inc.
MACK
– –
-636
Closed -$27K
ARIS
4947
DELISTED
ARI Network Services, Inc.
ARIS
$0 ﹤0.01%
50
– –
RMGN
4948
DELISTED
RMG Networks Holding Corporation
RMGN
$0 ﹤0.01%
38
– –
XRA
4949
DELISTED
Exeter Resources Corporation
XRA
$0 ﹤0.01%
300
– –
COVS
4950
DELISTED
Covisint Corporation
COVS
$0 ﹤0.01%
28
– –
196 197
198
199 200

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Ladenburg Thalmann Financial Services's Q3 2016 Portfolio in Review

As of Q3 2016, Ladenburg Thalmann Financial Services held 5,148 positions worth $6.68B, up 6.6% from $6.26B the previous quarter. Its ten largest holdings account for 13% of the portfolio.

Ladenburg Thalmann Financial Services deployed $257M of net new capital in Q3 2016, opening 230 new positions and adding to 2,091 existing holdings. Its largest new stake was Nuveen High Income December 2019 Target Term Fund: 83,175 shares worth $849K.

By sector, the portfolio is most concentrated in Consumer Staples at 5.3% of assets, down from 5.6% a quarter earlier, followed by Financials and Technology.

On the sell side, the largest reduction was iShares Russell Mid-Cap Value ETF, an estimated $72.2M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q3 2016 buy was Nuveen High Income December 2019 Target Term Fund: 83,175 shares worth $849K.
  • Ladenburg Thalmann Financial Services added most to iShares Russell 2000 ETF in Q3 2016, an estimated $65.5M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2016 reduction was iShares Russell Mid-Cap Value ETF, cutting an estimated $72.2M.
  • Ladenburg Thalmann Financial Services fully exited EMC CORPORATION in Q3 2016, selling an estimated $1.46M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 13% of its $6.68B portfolio in Q3 2016.
  • Ladenburg Thalmann Financial Services opened 230 new positions and closed 230 in Q3 2016.
  • Ladenburg Thalmann Financial Services's portfolio value rose 6.6% quarter-over-quarter to $6.68B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2016, filed 14 Nov 2016.