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LTFS

Ladenburg Thalmann Financial Services Portfolio holdings

AUM $15.9B
1-Year Est. Return 25.16%
This Fund
S&P 500
This Quarter Est. Return
+6.91%
1 Year Est. Return
+25.16%
3 Year Est. Return
+38.33%
5 Year Est. Return
+52.13%
10 Year Est. Return
–
AUM
$15.9B
AUM Growth
+$1.38B
Cap. Flow
+$2B
Cap. Flow %
12.6%
Top 10 Hldgs %
14.09%
Holding
5,749
New
217
Increased
2,454
Reduced
2,005
Closed
163

Top Buys

Rank Stock Value
1
AMZN icon
Amazon
AMZN
+$577M
2
GOOG icon
Alphabet (Google) Class C
GOOG
+$131M
3
BKNG icon
Booking.com
BKNG
+$114M
4
QUAL icon
iShares MSCI USA Quality Factor ETF
QUAL
+$63.6M
5
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$57.5M

Top Sells

Rank Stock Value
1
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$49.5M
2
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$48.3M
3
IWD icon
iShares Russell 1000 Value ETF
IWD
+$38.2M
4
IJS icon
iShares S&P Small-Cap 600 Value ETF
IJS
+$32M
5
XLU icon
State Street Utilities Select Sector SPDR ETF
XLU
+$16.1M

Sector Composition

Rank Sector Weight
1 Technology 7.62%
2 Financials 5.4%
3 Industrials 3.76%
4 Healthcare 3.67%
5 Consumer Discretionary 3.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TDW.WS.B
5526
DELISTED
Tidewater Inc. Series B Warrants to purchase shares of common stock (expiring July 31, 2023)
TDW.WS.B
$0 ﹤0.01%
462
+69
+18% +$71
IMBI
5527
DELISTED
iMedia Brands, Inc. Class A Common Stock
IMBI
$0 ﹤0.01%
10
– –
STCN
5528
DELISTED
Steel Connect, Inc. Common Stock
STCN
$0 ﹤0.01%
11
– –
ROCC
5529
DELISTED
Ranger Oil Corporation Class A Common Stock
ROCC
$0 ﹤0.01%
1
– –
SNMP
5530
DELISTED
Evolve Transition Infrastructure LP
SNMP
$0 ﹤0.01%
3
– –
MGI
5531
DELISTED
MoneyGram International, Inc. New
MGI
– –
-300
Closed -$1K
BSMX
5532
DELISTED
Banco Santander México, S, A., Institución de Banca Múltiple, Grupo Financiero Santander México
BSMX
$0 ﹤0.01%
2
-230
-99% -$1.53K
CIH
5533
DELISTED
China Index Holdings Limited American Depository Shares
CIH
$0 ﹤0.01%
+5
New +$18
NVCN
5534
DELISTED
Neovasc Inc.
NVCN
$0 ﹤0.01%
5
+4
+400% +$340
ALR
5535
DELISTED
AlerisLife Inc
ALR
– –
-1
Closed –
ASAP
5536
DELISTED
Waitr Holdings Inc. Common Stock
ASAP
$0 ﹤0.01%
51
– –
PRTY
5537
DELISTED
Party City Holdco Inc.
PRTY
– –
-1,123
Closed -$6K
VIVE
5538
DELISTED
VIVEVE MED INC
VIVE
– –
-1
Closed –
STAB
5539
DELISTED
Statera Biopharma, Inc. Common Stock
STAB
$0 ﹤0.01%
265
– –
NH
5540
DELISTED
NantHealth, Inc
NH
– –
-2
Closed –
ELOX
5541
DELISTED
Eloxx Pharmaceuticals, Inc. Common Stock
ELOX
– –
0
– –
CFMS
5542
DELISTED
Conformis, Inc. Common Stock
CFMS
– –
-47
Closed -$2K
TMBR
5543
DELISTED
Timber Pharmaceuticals, Inc.
TMBR
– –
-3
Closed -$1K
PZN
5544
DELISTED
Pzena Investment Management, Inc. Class A
PZN
$0 ﹤0.01%
16
– –
MN
5545
DELISTED
MANNING & NAPIER, INC.
MN
– –
-500
Closed -$1K
GBL
5546
DELISTED
GAMCO Investors, Inc.
GBL
– –
-39
Closed -$1K
CHNG
5547
DELISTED
Change Healthcare Inc. Common Stock
CHNG
– –
-1,000
Closed -$12K
USAK
5548
DELISTED
USA Truck Inc
USAK
$0 ﹤0.01%
50
– –
ICOL
5549
DELISTED
iShares MSCI Colombia ETF
ICOL
$0 ﹤0.01%
17
– –
DIVA
5550
DELISTED
AGFiQ Hedged Dividend Income Fund
DIVA
– –
-2,214
Closed -$54K
220 221
222
223 224

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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 Q4 2019 Portfolio in Review

As of Q4 2019, Ladenburg Thalmann Financial Services held 5,749 positions worth $15.9B, up 9.6% from $14.5B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

Ladenburg Thalmann Financial Services deployed $2B of net new capital in Q4 2019, opening 217 new positions and adding to 2,454 existing holdings. Its largest new stake was WisdomTree International Quality Dividend Growth Fund: 137,133 shares worth $4.42M.

By sector, the portfolio is most concentrated in Technology at 7.6% of assets, up from 7% a quarter earlier, followed by Financials and Industrials.

On the sell side, the largest reduction was iShares MSCI USA Min Vol Factor ETF, an estimated $49.5M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q4 2019 buy was WisdomTree International Quality Dividend Growth Fund: 137,133 shares worth $4.42M.
  • Ladenburg Thalmann Financial Services added most to Amazon in Q4 2019, an estimated $577M increase.
  • Ladenburg Thalmann Financial Services's biggest Q4 2019 reduction was iShares MSCI USA Min Vol Factor ETF, cutting an estimated $49.5M.
  • Ladenburg Thalmann Financial Services fully exited Invesco BulletShares 2019 High Yield Corporate Bond ETF in Q4 2019, selling an estimated $5.98M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 14% of its $15.9B portfolio in Q4 2019.
  • Ladenburg Thalmann Financial Services opened 217 new positions and closed 163 in Q4 2019.
  • Ladenburg Thalmann Financial Services's portfolio value rose 9.6% quarter-over-quarter to $15.9B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q4 2019, filed 14 Feb 2020.