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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
TWX
5501
DELISTED
Time Warner Inc
TWX
– –
-28,122
Closed -$2.66M
LAYN
5502
DELISTED
Layne Christensen Co
LAYN
– –
-33
Closed –
MON
5503
DELISTED
Monsanto Co
MON
– –
-22,605
Closed -$2.64M
OA
5504
DELISTED
Orbital ATK, Inc.
OA
– –
-5,218
Closed -$692K
FIGY
5505
DELISTED
Barclays ETN+ FI Enhanced Global High Yield ETN
FIGY
– –
-388
Closed -$63K
GXP
5506
DELISTED
Great Plains Energy Incorporated
GXP
– –
-16,272
Closed -$516K
ICB
5507
DELISTED
Morgan Stanley Income Sec. Inc
ICB
– –
-3,855
Closed -$73K
AHGP
5508
DELISTED
Alliance Holdings GP
AHGP
– –
-3,100
Closed -$78K
DHXM
5509
DELISTED
DHX Media Ltd. Common Voting and Variable Voting Shares
DHXM
$0 ﹤0.01%
290
– –
LQ
5510
DELISTED
La Quinta Holdings Inc.
LQ
– –
-1
Closed –
MSCC
5511
DELISTED
Microsemi Corp
MSCC
– –
-464
Closed -$31K
OAKS
5512
DELISTED
Five Oaks Investment Corp.
OAKS
– –
-151,497
Closed -$441K
RSO
5513
DELISTED
Resource Capital Corp.
RSO
– –
-124,298
Closed -$1.18M
ACFC
5514
DELISTED
Atlantic Coast Financial Corporation
ACFC
– –
-200
Closed -$2K
CHUBA
5515
DELISTED
CommerceHub, Inc. Series A Common Stock
CHUBA
– –
-512
Closed -$12K
CHUBK
5516
DELISTED
CommerceHub, Inc. Series C Common Stock
CHUBK
– –
-69
Closed -$1K
AVXS
5517
DELISTED
AveXis, Inc. Common Stock
AVXS
– –
-278
Closed -$34K
EVEP
5518
DELISTED
EV Energy Partners, L.P.
EVEP
– –
-12,234
Closed -$2K
CBI
5519
DELISTED
Chicago Bridge & Iron Nv
CBI
– –
-24,944
Closed -$357K
SGY.WS
5520
DELISTED
Stone Energy Corporation Warrants to purchase common stock (expiring February 28, 2021)
SGY.WS
– –
-71
Closed –
PQ
5521
DELISTED
Petroquest Energy Inc Wd
PQ
– –
-305
Closed –
IPXL
5522
DELISTED
Impax Laboratories, Inc.
IPXL
– –
-25
Closed –
MULE
5523
DELISTED
MuleSoft, Inc.
MULE
– –
-76
Closed -$3K
ANTX
5524
DELISTED
Anthem, Inc.
ANTX
– –
-944
Closed -$50K
ABE
5525
DELISTED
Aberdeen Emerging Markets Smaller Company Opportunities Fund
ABE
– –
-3,156
Closed -$47K
219 220
221
222 223

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HAM
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CM
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TRAM
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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.