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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
GST
5451
DELISTED
Gastar Exploration Inc.
GST
– –
-10,619
Closed -$7K
CHFN
5452
DELISTED
Charter Financial Corp
CHFN
– –
-8,604
Closed -$175K
ILG
5453
DELISTED
ILG, Inc Common Stock
ILG
– –
-2,531
Closed -$80K
STDY
5454
DELISTED
SteadyMed Ltd
STDY
– –
-16,050
Closed -$52K
KODK.WS
5455
DELISTED
Eastman Kodak Company
KODK.WS
– –
-7
Closed –
COTV
5456
DELISTED
Cotiviti Holdings, Inc.
COTV
– –
-570
Closed -$19K
ACSF
5457
DELISTED
American Capital Senior Floating, Ltd.
ACSF
– –
-92,698
Closed -$1.03M
HGT
5458
DELISTED
Hugoton Royalty Trust
HGT
– –
-3,630
Closed -$2K
LCM
5459
DELISTED
Advent/Claymore Enhanced Gth & F
LCM
– –
-1,300
Closed -$10K
AGC
5460
DELISTED
Advent Claymore Conv Sec & Incme
AGC
– –
-69,664
Closed -$390K
SHLM
5461
DELISTED
Schulman (A.) Inc
SHLM
– –
-1,481
Closed -$64K
PAY
5462
DELISTED
Verifone Systems Inc
PAY
– –
-465
Closed -$7K
FFKT
5463
DELISTED
Farmers Capital Bank Corp
FFKT
– –
-2,000
Closed -$80K
MATR
5464
DELISTED
Mattersight Corp.
MATR
– –
-88
Closed –
PRKR
5465
DELISTED
Parkervision Inc
PRKR
– –
-9,593
Closed -$8K
MATF
5466
DELISTED
iShares Edge MSCI Multifactor Materials ETF
MATF
– –
-500
Closed -$16K
ERGF
5467
DELISTED
iShares Edge MSCI Multifactor Energy ETF
ERGF
– –
-1,675
Closed -$44K
TCHF
5468
DELISTED
iShares Edge MSCI Multifactor Technology ETF
TCHF
– –
-600
Closed -$24K
CNDF
5469
DELISTED
iShares Edge MSCI Multifactor Consumer Discretionary ETF
CNDF
– –
-484
Closed -$15K
HHYX
5470
DELISTED
iShares Currency Hedged International High Yield Bond ETF of ISHARES TRUST
HHYX
– –
-640
Closed -$18K
KYE
5471
DELISTED
Kayne Anderson Energy
KYE
– –
-74,622
Closed -$642K
TAX
5472
DELISTED
Liberty Tax, Inc. Class A
TAX
– –
-200
Closed -$2K
CPLA
5473
DELISTED
Capella Education Company
CPLA
– –
-250
Closed -$22K
FMI
5474
DELISTED
Foundation Medicine, Inc.
FMI
– –
-1,188
Closed -$94K
NSM
5475
DELISTED
Nationstar Mortgage Holdings
NSM
– –
-1,200
Closed -$22K
217 218
219
220 221

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HAM
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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.