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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
OKSB
5076
DELISTED
Southwest Bancorp Inc/OK
OKSB
– –
-98
Closed -$2K
AMFW
5077
DELISTED
AMEC Foster Wheeler plc
AMFW
$0 ﹤0.01%
44
– –
DYN.WS
5078
DELISTED
Dynegy Inc,
DYN.WS
$0 ﹤0.01%
68
– –
AST.WS
5079
DELISTED
Asterias Biotherapeutics Inc. Warrants (expiring September 29, 2017)
AST.WS
$0 ﹤0.01%
134
– –
MRVC
5080
DELISTED
MRV Communications Inc
MRVC
$0 ﹤0.01%
2
-15
-88% -$181
KMI.WS
5081
DELISTED
Kinder Morgan Inc
KMI.WS
$0 ﹤0.01%
7,275
-42
-0.6% -$1
NWBO
5082
DELISTED
Northwest Biotherapeutics, Inc. Common stock
NWBO
$0 ﹤0.01%
1,300
– –
RIGP
5083
DELISTED
Transocean Partners LLC
RIGP
– –
-4,537
Closed -$57K
MDVN
5084
DELISTED
MEDIVATION, INC.
MDVN
– –
-2,525
Closed -$152K
PLCM
5085
DELISTED
POLYCOM INC
PLCM
– –
-1,451
Closed -$16K
CCXE
5086
DELISTED
WISDOMTREE COMMODITY COUNTRY EQUITY FND (DE)
CCXE
– –
-714
Closed -$17K
DBU
5087
DELISTED
WISDOMTREE GLOBAL EX-US UTILITY FND (DE)
DBU
– –
-100
Closed -$2K
NPF
5088
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
– –
-9,358
Closed -$141K
NQS
5089
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
– –
-5,115
Closed -$79K
NMO
5090
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
– –
-6,168
Closed -$93K
DRII
5091
DELISTED
DIAMOND RESORTS INTL, INC
DRII
– –
-20
Closed -$1K
AMTG
5092
DELISTED
APOLLO RESIDENTIAL MTG INC COM STK
AMTG
– –
-350
Closed -$5K
MHY
5093
DELISTED
WESTERN ASSET MANAGED HIGH INCOM FD INC. COM
MHY
– –
-5,861
Closed -$28K
INY
5094
DELISTED
SPDR NUVEEN BARCLAYS N Y MUN BD ETF
INY
– –
-24,112
Closed -$594K
MDD
5095
DELISTED
SPDR S&P INTERNATIONAL MID CAP ETF
MDD
– –
-922
Closed -$26K
EEML
5096
DELISTED
ISHARES MSCI EMERGING MARKETS LATIN AMERICA ETF
EEML
– –
-80
Closed -$2K
QLIK
5097
DELISTED
QLIK TECHNOLOGIES INC COM STK (DE)
QLIK
– –
-45
Closed -$1K
EPRS
5098
DELISTED
EPIRUS BIOPHARMACEUTICALS INC COM
EPRS
– –
-10
Closed –
WIBC
5099
DELISTED
WILSHIRE BANCORP INC
WIBC
– –
-191
Closed -$2K
KKD
5100
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
– –
-511
Closed -$10K
201 202 203
204
205

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HAM
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TRAM
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CONA
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CBU
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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.