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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
BEL
5426
DELISTED
Belmond Ltd.
BEL
– –
-1,989
Closed -$22K
IPCI
5427
DELISTED
Intellipharmaceuticals International Inc.
IPCI
– –
-1
Closed –
BNCL
5428
DELISTED
Beneficial Bancorp, Inc.
BNCL
– –
-672
Closed -$10K
SEND
5429
DELISTED
SendGrid, Inc.
SEND
– –
-3,400
Closed -$96K
ARDM
5430
DELISTED
Aradigm Corp Common Stock
ARDM
$0 ﹤0.01%
2
-190
-99% -$259
CYHHZ
5431
DELISTED
Community Health Systems, Inc. Series A Contingent Value Rights
CYHHZ
$0 ﹤0.01%
1,220
– –
GNBC
5432
DELISTED
Green Bancorp, Inc
GNBC
$0 ﹤0.01%
14
-27
-66% -$633
RSLS
5433
DELISTED
ReShape Lifesciences Inc. Common Stock
RSLS
– –
0
– –
JONE
5434
DELISTED
Jones Energy, Inc.
JONE
$0 ﹤0.01%
52
-11
-17% -$74
C.WS.A
5435
DELISTED
Citigroup Inc
C.WS.A
$0 ﹤0.01%
+100,000
New +$1.11K
ZOES
5436
DELISTED
Zoe's Kitchen, Inc.
ZOES
– –
-12,400
Closed -$179K
GLF.WS
5437
DELISTED
GulfMark Offshore, Inc. Warrant
GLF.WS
$0 ﹤0.01%
18
– –
DHCP.WS.B
5438
DELISTED
Ditech Holding Corporation
DHCP.WS.B
$0 ﹤0.01%
+2
New –
DHCP
5439
DELISTED
Ditech Holding Corporation
DHCP
– –
-2
Closed –
DHCP.WS.A
5440
DELISTED
Ditech Holding Corporation
DHCP.WS.A
$0 ﹤0.01%
+2
New +$1
ANW
5441
DELISTED
Aegean Marine Petroleum Network
ANW
$0 ﹤0.01%
164
– –
AVHI
5442
DELISTED
A V Homes, Inc.
AVHI
– –
-102
Closed -$2K
BTX.WS
5443
DELISTED
BioTime Inc Warrants (Expiring October 1, 2018)
BTX.WS
– –
-1,246
Closed –
NLST
5444
DELISTED
Netlist, Inc.
NLST
– –
-5,000
Closed -$1K
CDTI
5445
DELISTED
CDTI Advanced Materials, Inc. Common Stock
CDTI
$0 ﹤0.01%
40
-500
-93% -$1.13K
AAV
5446
DELISTED
Advantage Oil & Gas Ltd
AAV
– –
-7,225
Closed -$21K
EDR
5447
DELISTED
Education Realty Trust Inc
EDR
– –
-1,433
Closed -$47K
ELON
5448
DELISTED
Echelon Corp
ELON
– –
-2,305
Closed -$10K
NDRO
5449
DELISTED
Enduro Royalty Trust
NDRO
– –
-300
Closed -$1K
DNO
5450
DELISTED
United States Short Oil Fund
DNO
– –
-500
Closed -$26K
216 217
218
219 220

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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.