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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
+5.57%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$12B
AUM Growth
+$1.22B
Cap. Flow
+$501M
Cap. Flow %
4.19%
Top 10 Hldgs %
14.03%
Holding
5,659
New
398
Increased
2,164
Reduced
2,101
Closed
385

Top Buys

Rank Stock Value
1
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$86.6M
2
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$67.7M
3
SHV icon
iShares 0-1 Year Treasury Bond ETF
SHV
+$34M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$33.5M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$30.8M

Top Sells

Rank Stock Value
1
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$58.2M
2
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$41.2M
3
SCZ icon
iShares MSCI EAFE Small-Cap ETF
SCZ
+$37.9M
4
TLTE icon
FlexShares Morningstar Emerging Markets Factor Tilt Index Fund
TLTE
+$30.3M
5
ULQ
CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF
ULQ
+$28.5M

Sector Composition

Rank Sector Weight
1 Technology 7.18%
2 Financials 5.73%
3 Industrials 4.41%
4 Healthcare 3.94%
5 Consumer Discretionary 3.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ORKA
5326
Oruka Therapeutics
ORKA
$6.31B
– –
0
– –
RDGT
5327
Ridgetech Inc
RDGT
$3.33M
– –
0
– –
CSF
5328
DELISTED
VictoryShares US Discovery Enhanced Volatility Wtd ETF
CSF
– –
-586
Closed -$25K
ENZ
5329
DELISTED
Enzo Biochem, Inc.
ENZ
$0 ﹤0.01%
10
– –
TBNK
5330
DELISTED
Territorial Bancorp Inc.
TBNK
– –
-100
Closed -$3K
CUTR
5331
DELISTED
Cutera, Inc.
CUTR
– –
-5,300
Closed -$266K
VIRX
5332
DELISTED
Viracta Therapeutics, Inc. Common Stock
VIRX
– –
-1
Closed –
PFIE
5333
DELISTED
Profire Energy, Inc
PFIE
– –
-135,786
Closed -$371K
AUMN
5334
DELISTED
Golden Minerals Company
AUMN
$0 ﹤0.01%
6
– –
HAYN
5335
DELISTED
Haynes International, Inc.
HAYN
– –
-100
Closed -$4K
CHUY
5336
DELISTED
Chuy's Holdings, Inc. Common Stock
CHUY
– –
-38
Closed -$1K
EGIO
5337
DELISTED
Edgio, Inc. Common Stock
EGIO
– –
-75
Closed -$13K
HEWG
5338
DELISTED
iShares Currency Hedged MSCI Germany ETF
HEWG
– –
-671
Closed -$18K
CONN
5339
DELISTED
Conn's Inc.
CONN
– –
-174
Closed -$6K
BTEC
5340
DELISTED
Principal Exchange-Traded Funds Principal Healthcare Innovators ETF
BTEC
– –
-1,000
Closed -$33K
FNCB
5341
DELISTED
FNCB Bancorp Inc. Common Stock
FNCB
– –
-672
Closed -$6K
ALPN
5342
DELISTED
Alpine Immune Sciences Inc
ALPN
– –
-5,615
Closed -$45K
DOOR
5343
DELISTED
MASONITE INTERNATIONAL CORP
DOOR
$0 ﹤0.01%
6
-135
-96% -$9.21K
OPGN
5344
DELISTED
OpGen, Inc
OPGN
– –
0
– –
YTEN
5345
DELISTED
Yield10 Bioscience, Inc. Common Stock
YTEN
– –
0
– –
HTY
5346
DELISTED
JOHN HANCOCK TAX-ADVANTAGED GLOBAL SHAREHOLDER YIELD FUND
HTY
– –
-5,000
Closed -$45K
MTBL
5347
DELISTED
Moatable, Inc. American Depositary Share (each representing forty-five (45) Class A Ordinary Shares)
MTBL
$0 ﹤0.01%
133
-134
-50% -$79
CCLP
5348
DELISTED
CSI Compressco LP
CCLP
– –
-2,551
Closed -$19K
SUNW
5349
DELISTED
Sunworks, Inc.
SUNW
$0 ﹤0.01%
100
– –
SFE
5350
DELISTED
Safeguard Scientifics, Inc.
SFE
$0 ﹤0.01%
50
– –
212 213
214
215 216

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HAM
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CONA
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Ladenburg Thalmann Financial Services's Q3 2018 Portfolio in Review

As of Q3 2018, Ladenburg Thalmann Financial Services held 5,659 positions worth $12B, up 11% from $10.7B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

Ladenburg Thalmann Financial Services deployed $501M of net new capital in Q3 2018, opening 398 new positions and adding to 2,164 existing holdings. Its largest new stake was Invesco Ultra Short Duration ETF: 480,696 shares worth $24.1M.

By sector, the portfolio is most concentrated in Technology at 7.2% of assets, up from 6.2% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was iShares MSCI USA Momentum Factor ETF, an estimated $58.2M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q3 2018 buy was Invesco Ultra Short Duration ETF: 480,696 shares worth $24.1M.
  • Ladenburg Thalmann Financial Services added most to State Street SPDR Portfolio S&P 500 Growth ETF in Q3 2018, an estimated $86.6M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2018 reduction was iShares MSCI USA Momentum Factor ETF, cutting an estimated $58.2M.
  • Ladenburg Thalmann Financial Services fully exited CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF in Q3 2018, selling an estimated $28.5M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 14% of its $12B portfolio in Q3 2018.
  • Ladenburg Thalmann Financial Services opened 398 new positions and closed 385 in Q3 2018.
  • Ladenburg Thalmann Financial Services's portfolio value rose 11% quarter-over-quarter to $12B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2018, filed 14 Nov 2018.