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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
+2.41%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$7.19B
AUM Growth
+$515M
Cap. Flow
+$409M
Cap. Flow %
5.68%
Top 10 Hldgs %
13.33%
Holding
5,189
New
264
Increased
2,160
Reduced
1,542
Closed
203

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$38.2M
2
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$17.5M
3
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$16.5M
4
ABUS icon
Arbutus Biopharma
ABUS
+$15.4M
5
RSP icon
Invesco S&P 500 Equal Weight ETF
RSP
+$14.6M

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$36M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$12.1M
3
SPHD icon
Invesco S&P 500 High Dividend Low Volatility ETF
SPHD
+$11.1M
4
VCIT icon
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
+$6.94M
5
MSM icon
MSC Industrial Direct
MSM
+$6.76M

Sector Composition

Rank Sector Weight
1 Financials 6.15%
2 Industrials 5.32%
3 Technology 5.28%
4 Consumer Staples 4.98%
5 Healthcare 4.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KHI
5101
DELISTED
Deutsche High Income Trust
KHI
– –
-96
Closed -$1K
KMM
5102
DELISTED
Deutsche Multi-Market Incm Trust
KMM
– –
-1,302
Closed -$11K
STRZA
5103
DELISTED
Starz - Series A
STRZA
– –
-3,033
Closed -$95K
DCTH
5104
DELISTED
Delcath Systems Inc
DCTH
$0 ﹤0.01%
100
+11
+12% +$21
HHY
5105
DELISTED
Brookfield High Income Fund Inc.
HHY
– –
-4,979
Closed -$36K
CELGZ
5106
DELISTED
Celgene Corporation Contingent Value Rights
CELGZ
$0 ﹤0.01%
43
– –
ASCMA
5107
DELISTED
Ascent Capital Group, Inc. Series A
ASCMA
$0 ﹤0.01%
8
+1
+14% +$20
CTIC
5108
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$0 ﹤0.01%
120
– –
ARCW
5109
DELISTED
ARC Group Worldwide, Inc
ARCW
$0 ﹤0.01%
+13
New +$55
RXII
5110
DELISTED
GALENA BIOPHARMA INC COM
RXII
– –
-30,125
Closed -$11K
HYGS
5111
DELISTED
Hydrogenics Corp
HYGS
$0 ﹤0.01%
28
– –
HTR
5112
DELISTED
Brookfield Total Return Fund Inc
HTR
– –
-41,348
Closed -$927K
GUR
5113
DELISTED
SPDR S&P Emerging Europe ETF
GUR
$0 ﹤0.01%
16
– –
EMD
5114
DELISTED
Western Asset Emerging Markets
EMD
– –
-12,070
Closed -$139K
IIP
5115
DELISTED
INTERNAP NETWORK SERVICES CORPORATION
IIP
$0 ﹤0.01%
242
– –
YELL
5116
DELISTED
Yellow Corporation Common Stock
YELL
$0 ﹤0.01%
1
– –
JTA
5117
DELISTED
Nuveen Tax-Advantaged Total Return Strategy Fund
JTA
$0 ﹤0.01%
33
-2,400
-99% -$27.4K
QADA
5118
DELISTED
QAD Inc.
QADA
$0 ﹤0.01%
13
– –
NHLD
5119
DELISTED
National Holdings Corporation
NHLD
$0 ﹤0.01%
2
– –
BVSN
5120
DELISTED
Broadvision Inc Com
BVSN
$0 ﹤0.01%
95
-20
-17% -$99
IMUC
5121
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
$0 ﹤0.01%
70
– –
KODK.WS.A
5122
DELISTED
Eastman Kodak Company
KODK.WS.A
– –
-5
Closed –
ARLZ
5123
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
$0 ﹤0.01%
66
+27
+69% +$128
SGY
5124
DELISTED
Stone Energy
SGY
$0 ﹤0.01%
3
– –
OREX
5125
DELISTED
Orexigen Therapeutics, Inc.
OREX
$0 ﹤0.01%
10
-25
-71% -$59
203 204
205
206 207

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HAM
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CONA
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CBU
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Ladenburg Thalmann Financial Services's Q4 2016 Portfolio in Review

As of Q4 2016, Ladenburg Thalmann Financial Services held 5,189 positions worth $7.19B, up 7.7% from $6.68B the previous quarter. Its ten largest holdings account for 13% of the portfolio.

Ladenburg Thalmann Financial Services deployed $409M of net new capital in Q4 2016, opening 264 new positions and adding to 2,160 existing holdings. Its largest new stake was ProShares Inflation Expectations ETF: 64,175 shares worth $1.87M.

By sector, the portfolio is most concentrated in Financials at 6.1% of assets, up from 5.3% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was iShares Russell 2000 ETF, an estimated $36M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q4 2016 buy was ProShares Inflation Expectations ETF: 64,175 shares worth $1.87M.
  • Ladenburg Thalmann Financial Services added most to State Street SPDR S&P 500 ETF Trust in Q4 2016, an estimated $38.2M increase.
  • Ladenburg Thalmann Financial Services's biggest Q4 2016 reduction was iShares Russell 2000 ETF, cutting an estimated $36M.
  • Ladenburg Thalmann Financial Services fully exited Financial Services Select Sector SPDR Fund in Q4 2016, selling an estimated $4.45M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 13% of its $7.19B portfolio in Q4 2016.
  • Ladenburg Thalmann Financial Services opened 264 new positions and closed 203 in Q4 2016.
  • Ladenburg Thalmann Financial Services's portfolio value rose 7.7% quarter-over-quarter to $7.19B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q4 2016, filed 14 Feb 2017.