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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
SES
5401
DELISTED
Synthesis Energy Systems Inc.
SES
$0 ﹤0.01%
5
– –
AVH
5402
DELISTED
AVIANCA HOLDINGS S.A.
AVH
– –
-155
Closed -$1K
OMN
5403
DELISTED
OMNOVA Solutions Inc.
OMN
$0 ﹤0.01%
15
-132
-90% -$1.26K
INAP
5404
DELISTED
Internap Corporation
INAP
$0 ﹤0.01%
27
– –
INST
5405
DELISTED
Instructure, Inc.
INST
– –
-150
Closed -$6K
DERM
5406
DELISTED
Dermira, Inc.
DERM
– –
-100
Closed -$1K
PIR
5407
DELISTED
Pier 1 Imports, Inc.
PIR
$0 ﹤0.01%
3
– –
DPLO
5408
DELISTED
DIPLOMAT PHARMACY, INC.
DPLO
– –
-75
Closed -$1K
MPVD
5409
DELISTED
Mountain Province Diamonds Inc.
MPVD
$0 ﹤0.01%
+200
New +$438
BLPH
5410
DELISTED
Bellerophon Therapeutics, Inc.
BLPH
– –
-1,533
Closed -$46K
JAG
5411
DELISTED
Jagged Peak Energy Inc.
JAG
– –
-500
Closed -$7K
ENFC
5412
DELISTED
Entegra Financial Corp.
ENFC
– –
-68
Closed -$2K
PSDO
5413
DELISTED
Presidio, Inc. Common Stock
PSDO
– –
-346
Closed -$5K
MCRN
5414
DELISTED
Milacron Holdings Corp.
MCRN
– –
-405
Closed -$8K
CJ
5415
DELISTED
C&J Energy Services, Inc.
CJ
– –
-65
Closed -$2K
OTIV
5416
DELISTED
OTI On Track Innovations Ltd
OTIV
$0 ﹤0.01%
500
-40,000
-99% -$42.2K
SHOS
5417
DELISTED
Sears Hometown and Outlet Stores, Inc.
SHOS
$0 ﹤0.01%
14
+7
+100% +$18
NVLN
5418
DELISTED
Novelion Therapeutics Inc. Common Shares
NVLN
$0 ﹤0.01%
177
– –
AQ
5419
DELISTED
Aquantia Corp. Common Stock
AQ
– –
-950
Closed -$15K
TRK
5420
DELISTED
Speedway Motorsports, Inc.
TRK
– –
-100
Closed -$2K
TRNX
5421
DELISTED
Taronis Technologies, Inc. Common Stock
TRNX
$0 ﹤0.01%
2
– –
BRSS
5422
DELISTED
Global Brass & Copper Hldgs, Inc
BRSS
– –
-73
Closed -$2K
ADYX
5423
DELISTED
Adynxx Inc
ADYX
$0 ﹤0.01%
2
– –
DCF
5424
DELISTED
BNY Mellon Alcentra Global Credit Income 2024 Target Term Fund, Inc.
DCF
– –
-5,339
Closed -$50K
VISL
5425
DELISTED
Vislink Technologies, Inc. Common Stock
VISL
– –
0
– –
215 216
217
218 219

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HAM
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CONA
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CBU
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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.