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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
-11.08%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$11.1B
AUM Growth
-$848M
Cap. Flow
+$682M
Cap. Flow %
6.14%
Top 10 Hldgs %
14.4%
Holding
5,597
New
319
Increased
2,567
Reduced
1,671
Closed
195

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$110M
2
HDV
iShares Core High Dividend ETF
HDV
+$56.5M
3
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$47.2M
4
AAPL icon
Apple
AAPL
+$47M
5
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$36.6M

Top Sells

Rank Stock Value
1
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$75.2M
2
IWO icon
iShares Russell 2000 Growth ETF
IWO
+$59.4M
3
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$27.4M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$26.3M
5
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$19.6M

Sector Composition

Rank Sector Weight
1 Technology 6.71%
2 Financials 5.85%
3 Industrials 4.18%
4 Healthcare 4.18%
5 Consumer Discretionary 3.82%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XTIA icon
5326
XTI Aerospace
XTIA
$61.2M
– –
0
– –
TRAW icon
5327
Traws Pharma
TRAW
$8.24M
– –
0
– –
VRN
5328
DELISTED
Veren
VRN
$0 ﹤0.01%
155
-150
-49% -$639
ONIT
5329
Onity Group
ONIT
$328M
$0 ﹤0.01%
17
-3
-15% -$123
QCLS
5330
Q/C Technologies Inc
QCLS
$22.7M
– –
0
– –
CSCI
5331
DELISTED
COSCIENS Biopharma Inc. Common Stock
CSCI
– –
0
– –
ORKA
5332
Oruka Therapeutics
ORKA
$6.31B
– –
0
– –
PVLA
5333
Palvella Therapeutics
PVLA
$2.22B
– –
-8
Closed -$3K
PHLT
5334
DELISTED
Performant Healthcare Inc
PHLT
– –
-1,000
Closed -$2K
RDGT
5335
Ridgetech Inc
RDGT
$3.33M
– –
0
– –
ENZ
5336
DELISTED
Enzo Biochem, Inc.
ENZ
$0 ﹤0.01%
120
+110
+1,100% +$360
PFC
5337
DELISTED
Premier Financial Corp. Common Stock
PFC
– –
-40
Closed -$1K
AUMN
5338
DELISTED
Golden Minerals Company
AUMN
$0 ﹤0.01%
6
– –
TDW.WS
5339
DELISTED
Tidewater Inc.
TDW.WS
$0 ﹤0.01%
+18
New +$12
PRMW
5340
DELISTED
Primo Water Corporation
PRMW
– –
-4,550
Closed -$73K
SEEL
5341
DELISTED
Seelos Therapeutics, Inc. Common Stock
SEEL
– –
0
– –
HOLI
5342
DELISTED
Hollsys Automation Technologies INTERNATIONAL, LTD. COMMON (British Virgin Island)
HOLI
$0 ﹤0.01%
28
– –
TCON
5343
DELISTED
TRACON Pharmaceuticals, Inc. Common Stock
TCON
$0 ﹤0.01%
2
– –
MODN
5344
DELISTED
MODEL N, INC.
MODN
– –
-300
Closed -$5K
OPGN
5345
DELISTED
OpGen, Inc
OPGN
– –
0
– –
GENE
5346
DELISTED
Genetic Technologies Ltd.
GENE
– –
-138
Closed -$3K
YTEN
5347
DELISTED
Yield10 Bioscience, Inc. Common Stock
YTEN
– –
0
– –
MTBL
5348
DELISTED
Moatable, Inc. American Depositary Share (each representing forty-five (45) Class A Ordinary Shares)
MTBL
$0 ﹤0.01%
133
– –
SUNW
5349
DELISTED
Sunworks, Inc.
SUNW
$0 ﹤0.01%
100
– –
SALM
5350
DELISTED
Salem Media Group, Inc. Class A Common Stock
SALM
$0 ﹤0.01%
+12
New +$35
212 213
214
215 216

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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 Q4 2018 Portfolio in Review

As of Q4 2018, Ladenburg Thalmann Financial Services held 5,597 positions worth $11.1B, down 7.1% from $12B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

Ladenburg Thalmann Financial Services deployed $682M of net new capital in Q4 2018, opening 319 new positions and adding to 2,567 existing holdings. Its largest new stake was Linde: 13,311 shares worth $2.07M.

By sector, the portfolio is most concentrated in Technology at 6.7% of assets, down from 7.2% 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 $75.2M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q4 2018 buy was Linde: 13,311 shares worth $2.07M.
  • Ladenburg Thalmann Financial Services added most to iShares Core S&P 500 ETF in Q4 2018, an estimated $110M increase.
  • Ladenburg Thalmann Financial Services's biggest Q4 2018 reduction was State Street SPDR Portfolio S&P 500 Growth ETF, cutting an estimated $75.2M.
  • Ladenburg Thalmann Financial Services fully exited Corporate Capital Trust, Inc. in Q4 2018, selling an estimated $12M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 14% of its $11.1B portfolio in Q4 2018.
  • Ladenburg Thalmann Financial Services opened 319 new positions and closed 195 in Q4 2018.
  • Ladenburg Thalmann Financial Services's portfolio value fell 7.1% quarter-over-quarter to $11.1B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q4 2018, filed 14 Feb 2019.