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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
+1.37%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$14.5B
AUM Growth
+$666M
Cap. Flow
+$788M
Cap. Flow %
5.43%
Top 10 Hldgs %
14.27%
Holding
5,699
New
210
Increased
2,378
Reduced
1,926
Closed
175

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$116M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$77M
3
SPYV icon
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
+$63.1M
4
IEFA icon
iShares Core MSCI EAFE ETF
IEFA
+$46.2M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$44M

Top Sells

Rank Stock Value
1
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$94.6M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$60.4M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$34.2M
4
SPTI icon
State Street SPDR Portfolio Intermediate Term Treasury ETF
SPTI
+$30.5M
5
SPTL icon
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
+$21.4M

Sector Composition

Rank Sector Weight
1 Technology 6.97%
2 Financials 5.35%
3 Industrials 4%
4 Consumer Discretionary 3.71%
5 Healthcare 3.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ROAN
5201
DELISTED
Roan Resources, Inc.
ROAN
$1K ﹤0.01%
500
– –
ROX
5202
DELISTED
Castle Brands, Inc.
ROX
$1K ﹤0.01%
1,000
-3,000
-75% -$2.42K
ONCS
5203
DELISTED
OncoSec Medical Incorporated
ONCS
$1K ﹤0.01%
18
– –
TEUM
5204
DELISTED
Pareteum Corporation
TEUM
$1K ﹤0.01%
1,160
-100
-8% -$263
COWN
5205
DELISTED
Cowen Inc. Class A Common Stock
COWN
$1K ﹤0.01%
52
– –
IO
5206
DELISTED
ION Geophysical Corporation
IO
$1K ﹤0.01%
66
-62
-48% -$548
IID
5207
DELISTED
VOYA INTERNATIONAL HIGH DIVIDEND EQUITY INCOME FUND
IID
$1K ﹤0.01%
114
+3
+3% +$17
USLV
5208
DELISTED
VelocitySharesTM 3x Long Silver ETN linked to the S&P GSCI Silver Index ER
USLV
$1K ﹤0.01%
8
– –
PAK
5209
DELISTED
Global X MSCI Pakistan ETF
PAK
$1K ﹤0.01%
58
+1
+2% +$24
NTP
5210
DELISTED
Nam Tai Property Inc.
NTP
$1K ﹤0.01%
70
– –
VVUS
5211
DELISTED
Vivus Inc
VVUS
$1K ﹤0.01%
245
– –
SDR
5212
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST II
SDR
$1K ﹤0.01%
2,500
– –
AUO
5213
DELISTED
AU Optronics Corp
AUO
$1K ﹤0.01%
477
+122
+34% +$319
PRMW
5214
DELISTED
Primo Water Corporation
PRMW
$1K ﹤0.01%
60
– –
GCVRZ
5215
DELISTED
Sanofi Contingent Value Rights
GCVRZ
$1K ﹤0.01%
2,463
– –
ABEO icon
5216
Abeona Therapeutics
ABEO
$422M
– –
-4
Closed -$300
ACHV icon
5217
Achieve Life Sciences
ACHV
$695M
– –
0
– –
ACMR icon
5218
ACM Research
ACMR
$5.57B
$0 ﹤0.01%
18
– –
ACTG icon
5219
Acacia Research
ACTG
$451M
$0 ﹤0.01%
148
– –
ADVM
5220
DELISTED
Adverum Biotechnologies
ADVM
– –
-54
Closed -$6K
ALT icon
5221
Altimmune
ALT
$583M
$0 ﹤0.01%
1
– –
AMR icon
5222
Alpha Metallurgical Resources
AMR
$1.95B
$0 ﹤0.01%
8
-2
-20% -$70
AMRC icon
5223
Ameresco
AMRC
$1.37B
$0 ﹤0.01%
+3
New +$44
BNBX
5224
DELISTED
BNB PLUS CORP
BNBX
– –
0
– –
AQST icon
5225
Aquestive Therapeutics
AQST
$553M
– –
-100
Closed –
207 208
209
210 211

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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 2019 Portfolio in Review

As of Q3 2019, Ladenburg Thalmann Financial Services held 5,699 positions worth $14.5B, up 4.8% from $13.8B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

Ladenburg Thalmann Financial Services deployed $788M of net new capital in Q3 2019, opening 210 new positions and adding to 2,378 existing holdings. Its largest new stake was Innovator US Equity Buffer ETF August: 37,795 shares worth $949K.

By sector, the portfolio is most concentrated in Technology at 7% of assets, down from 7% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was State Street SPDR Portfolio S&P 500 Growth ETF, an estimated $94.6M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q3 2019 buy was Innovator US Equity Buffer ETF August: 37,795 shares worth $949K.
  • Ladenburg Thalmann Financial Services added most to State Street SPDR S&P 500 ETF Trust in Q3 2019, an estimated $116M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2019 reduction was State Street SPDR Portfolio S&P 500 Growth ETF, cutting an estimated $94.6M.
  • Ladenburg Thalmann Financial Services fully exited AmeriGas Partners, L.P. in Q3 2019, selling an estimated $1.62M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 14% of its $14.5B portfolio in Q3 2019.
  • Ladenburg Thalmann Financial Services opened 210 new positions and closed 175 in Q3 2019.
  • Ladenburg Thalmann Financial Services's portfolio value rose 4.8% quarter-over-quarter to $14.5B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2019, filed 14 Nov 2019.