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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
GGP
5551
DELISTED
GGP Inc.
GGP
– –
-1,952
Closed -$40K
COWN
5552
DELISTED
Cowen Inc. Class A Common Stock
COWN
$0 ﹤0.01%
16
-307
-95% -$4.59K
DRYS
5553
DELISTED
DryShips Inc. Common Stock
DRYS
$0 ﹤0.01%
3
– –
BBRC
5554
DELISTED
Columbia Beyond BRICs ETF
BBRC
– –
-120
Closed -$2K
PTX
5555
DELISTED
Pernix Therapeutics Holdings, Inc.
PTX
$0 ﹤0.01%
9
-5
-36% -$8
RGSE
5556
DELISTED
Real Goods Solar, Inc. Class A
RGSE
$0 ﹤0.01%
1
– –
EGPT
5557
DELISTED
VanEck Egypt Index ETF
EGPT
– –
-236
Closed -$9K
FMSA
5558
DELISTED
Fairmount Santrol Holdings Inc.
FMSA
– –
-3,500
Closed -$15K
AOI
5559
DELISTED
Alliance One International
AOI
– –
-230
Closed -$6K
WPZ
5560
DELISTED
Williams Partners L.P.
WPZ
– –
-54,119
Closed -$1.86M
DCT
5561
DELISTED
DCT Industrial Trust Inc.
DCT
– –
-5,739
Closed -$324K
GTT
5562
DELISTED
GTT Communications, Inc.
GTT
– –
-910
Closed -$52K
CELGZ
5563
DELISTED
Celgene Corporation Contingent Value Rights
CELGZ
$0 ﹤0.01%
43
– –
ASCMA
5564
DELISTED
Ascent Capital Group, Inc. Series A
ASCMA
$0 ﹤0.01%
10
+1
+11% +$3
CTIC
5565
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$0 ﹤0.01%
20
– –
ARCW
5566
DELISTED
ARC Group Worldwide, Inc
ARCW
$0 ﹤0.01%
63
– –
CYTR
5567
DELISTED
CytRx Corp
CYTR
$0 ﹤0.01%
440
-270
-38% -$305
FHY
5568
DELISTED
First Trust Strategic High
FHY
– –
-289,892
Closed -$3.54M
RAS
5569
DELISTED
RAIT Financial Trust
RAS
– –
-158,403
Closed -$25K
CAVM
5570
DELISTED
Cavium, Inc.
CAVM
– –
-85
Closed -$7K
PGH
5571
DELISTED
Pengrowth Energy Corporation
PGH
– –
-9,435
Closed -$7K
XL
5572
DELISTED
XL Group Ltd.
XL
– –
-542
Closed -$31K
MNE
5573
DELISTED
Blackrock MUNI New York Intermediate Duration Fund, Inc.
MNE
– –
-725
Closed -$9K
CHIX
5574
DELISTED
Global X MSCI China Financials ETF
CHIX
– –
-1,530
Closed -$28K
QMN
5575
DELISTED
IQ Hedge Market Neutral Tracker ETF
QMN
– –
-340
Closed -$9K
221 222
223
224 225

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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.