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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
+1.37%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$14.5B
AUM Growth
+$666M
Cap. Flow
+$788M
Cap. Flow %
5.43%
Top 10 Hldgs %
14.27%
Holding
5,699
New
210
Increased
2,378
Reduced
1,926
Closed
175

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$116M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$77M
3
SPYV icon
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
+$63.1M
4
IEFA icon
iShares Core MSCI EAFE ETF
IEFA
+$46.2M
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$44M

Top Sells

Rank Stock Value
1
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$94.6M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$60.4M
3
MTUM icon
iShares MSCI USA Momentum Factor ETF
MTUM
+$34.2M
4
SPTI icon
State Street SPDR Portfolio Intermediate Term Treasury ETF
SPTI
+$30.5M
5
SPTL icon
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
+$21.4M

Sector Composition

Rank Sector Weight
1 Technology 6.97%
2 Financials 5.35%
3 Industrials 4%
4 Consumer Discretionary 3.71%
5 Healthcare 3.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PZN
5501
DELISTED
Pzena Investment Management, Inc. Class A
PZN
$0 ﹤0.01%
16
– –
CCXI
5502
DELISTED
ChemoCentryx, Inc.
CCXI
– –
-667
Closed -$6K
TYME
5503
DELISTED
Tyme Technologies, Inc. Common Stock
TYME
$0 ﹤0.01%
+200
New +$252
USAK
5504
DELISTED
USA Truck Inc
USAK
$0 ﹤0.01%
50
– –
SHI
5505
DELISTED
Sinopec Shanghai Petrochemical Co., Ltd.
SHI
– –
-700
Closed -$28K
ICOL
5506
DELISTED
iShares MSCI Colombia ETF
ICOL
$0 ﹤0.01%
+17
New +$219
GSV
5507
DELISTED
Gold Standard Ventures Corp.
GSV
– –
-500
Closed -$1K
HSTO
5508
DELISTED
Histogen Inc. Common Stock
HSTO
$0 ﹤0.01%
+1
New +$65
AFI
5509
DELISTED
Armstrong Flooring, Inc.
AFI
– –
-126
Closed -$1K
LEJU
5510
DELISTED
Leju Holdings Limited American Depositary Shares, each representing ten (10) Ordinary Shares
LEJU
$0 ﹤0.01%
1
– –
SFUN
5511
DELISTED
Fang Holdings Limited American Depositary Shares (each representing ten Class A Ordinary Shares)
SFUN
$0 ﹤0.01%
20
– –
XENT
5512
DELISTED
Intersect ENT, Inc
XENT
– –
-520
Closed -$12K
GFED
5513
DELISTED
Guaranty Federal Bancshares In
GFED
$0 ﹤0.01%
6
– –
ODT
5514
DELISTED
Odonate Therapeutics, Inc. Common Stock
ODT
$0 ﹤0.01%
+14
New +$468
PCOM
5515
DELISTED
Points.com Inc. Common Shares
PCOM
$0 ﹤0.01%
12
– –
ADXS
5516
DELISTED
Advaxis Inc
ADXS
$0 ﹤0.01%
66
– –
PHIOW
5517
DELISTED
Phio Pharmaceuticals Corp. Warrants expiring 12/21/2021
PHIOW
$0 ﹤0.01%
3,000
– –
ENBL
5518
DELISTED
ENABLE MIDSTREAM PARTNERS, LP
ENBL
– –
-1,000
Closed -$14K
ADMS
5519
DELISTED
Adamas Pharmaceuticals
ADMS
$0 ﹤0.01%
50
– –
QADB
5520
DELISTED
QAD Inc. Class B
QADB
$0 ﹤0.01%
6
– –
SIC
5521
DELISTED
Select Interior Concepts, Inc. Class A Common Stock
SIC
$0 ﹤0.01%
24
– –
JAX
5522
DELISTED
J. Alexander's Holdings, Inc.
JAX
$0 ﹤0.01%
34
– –
SQBG
5523
DELISTED
Sequential Brands Group, Inc.
SQBG
$0 ﹤0.01%
1
– –
CHMA
5524
DELISTED
Chiasma, Inc. Common Stock
CHMA
$0 ﹤0.01%
3
– –
NYMTO
5525
DELISTED
New York Mortgage Trust, Inc. 7.875% Series C Cumulative Redeemable Preferred Stock
NYMTO
– –
-5,550
Closed -$136K
219 220
221
222 223

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HAM
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CBU
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Ladenburg Thalmann Financial Services's Q3 2019 Portfolio in Review

As of Q3 2019, Ladenburg Thalmann Financial Services held 5,699 positions worth $14.5B, up 4.8% from $13.8B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

Ladenburg Thalmann Financial Services deployed $788M of net new capital in Q3 2019, opening 210 new positions and adding to 2,378 existing holdings. Its largest new stake was Innovator US Equity Buffer ETF August: 37,795 shares worth $949K.

By sector, the portfolio is most concentrated in Technology at 7% of assets, down from 7% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was State Street SPDR Portfolio S&P 500 Growth ETF, an estimated $94.6M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q3 2019 buy was Innovator US Equity Buffer ETF August: 37,795 shares worth $949K.
  • Ladenburg Thalmann Financial Services added most to State Street SPDR S&P 500 ETF Trust in Q3 2019, an estimated $116M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2019 reduction was State Street SPDR Portfolio S&P 500 Growth ETF, cutting an estimated $94.6M.
  • Ladenburg Thalmann Financial Services fully exited AmeriGas Partners, L.P. in Q3 2019, selling an estimated $1.62M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 14% of its $14.5B portfolio in Q3 2019.
  • Ladenburg Thalmann Financial Services opened 210 new positions and closed 175 in Q3 2019.
  • Ladenburg Thalmann Financial Services's portfolio value rose 4.8% quarter-over-quarter to $14.5B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2019, filed 14 Nov 2019.