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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
ONCT
5351
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
– –
-2
Closed -$6K
SOFO
5352
DELISTED
Sonic Foundry, Inc. Common Stock
SOFO
– –
-4
Closed –
CORR.PRA
5353
DELISTED
CorEnergy Infrastructure Trust, Inc Depositary Shares representing a 1/100th fractional interest of a share of 7.375% Series A Cumulative Redeemable Preferred Stock
CORR.PRA
– –
-61,105
Closed -$1.53M
TWNK
5354
DELISTED
Hostess Brands, Inc. Class A Common Stock
TWNK
– –
-2,027
Closed -$30K
EWGS
5355
DELISTED
iShares MSCI Germany Small-Cap ETF
EWGS
– –
-1,029
Closed -$66K
EMAN
5356
DELISTED
eMagin Corporation
EMAN
$0 ﹤0.01%
51
– –
AMRS
5357
DELISTED
Amyris Inc.
AMRS
$0 ﹤0.01%
11
– –
KDNY
5358
DELISTED
Chinook Therapeutics, Inc. Common Stock
KDNY
– –
-10
Closed –
IMBI
5359
DELISTED
iMedia Brands, Inc. Class A Common Stock
IMBI
$0 ﹤0.01%
+10
New +$131
STCN
5360
DELISTED
Steel Connect, Inc. Common Stock
STCN
$0 ﹤0.01%
11
– –
BSMX
5361
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
$0 ﹤0.01%
+32
New +$251
SIOX
5362
DELISTED
Sio Gene Therapies Inc. Common Stock
SIOX
– –
-25
Closed –
CNCE
5363
DELISTED
Concert Pharmaceuticals, Inc.
CNCE
– –
-197
Closed -$5K
IRL
5364
DELISTED
NEW IRELAND FUND INC
IRL
– –
-11,332
Closed -$136K
ATNX
5365
DELISTED
Athenex, Inc. Common Stock
ATNX
– –
-3,465
Closed -$1.18M
STAB
5366
DELISTED
Statera Biopharma, Inc. Common Stock
STAB
$0 ﹤0.01%
20
– –
OTIC
5367
DELISTED
Otonomy, Inc.
OTIC
– –
-800
Closed -$3K
ELOX
5368
DELISTED
Eloxx Pharmaceuticals, Inc. Common Stock
ELOX
– –
0
– –
ZEN
5369
DELISTED
ZENDESK INC
ZEN
– –
-161
Closed -$8K
ZVO
5370
DELISTED
Zovio Inc. Common Stock
ZVO
– –
-300
Closed -$2K
GBL
5371
DELISTED
GAMCO Investors, Inc.
GBL
– –
-75
Closed -$2K
CNR
5372
DELISTED
Cornerstone Building Brands, Inc.
CNR
$0 ﹤0.01%
33
-110
-77% -$1.83K
JP
5373
DELISTED
Jupai Holdings Limited American depositary shares, each representing six ordinary shares
JP
– –
-200
Closed -$4K
LEJU
5374
DELISTED
Leju Holdings Limited American Depositary Shares, each representing ten (10) Ordinary Shares
LEJU
$0 ﹤0.01%
1
– –
EVFM
5375
DELISTED
Evofem Biosciences, Inc. Common Stock
EVFM
– –
-6
Closed -$1K
213 214
215
216 217

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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.