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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
JHMT
5576
DELISTED
John Hancock Multifactor Technology ETF
JHMT
– –
-350
Closed -$15K
JHME
5577
DELISTED
John Hancock Multifactor Energy ETF
JHME
– –
-100
Closed -$3K
FUT
5578
DELISTED
ProShares Managed Futures Strategy ETF
FUT
– –
-1,599
Closed -$64K
GRA
5579
DELISTED
W.R. Grace & Co.
GRA
– –
-123
Closed -$8K
NHLD
5580
DELISTED
National Holdings Corporation
NHLD
$0 ﹤0.01%
2
– –
BVSN
5581
DELISTED
Broadvision Inc Com
BVSN
$0 ﹤0.01%
85
– –
HUSE
5582
DELISTED
Strategy Shares US Market Rotation Strategy ETF
HUSE
– –
-63,352
Closed -$2.46M
KEG
5583
DELISTED
Key Energy Services, Inc. Common Stock
KEG
$0 ﹤0.01%
16
– –
AGF
5584
DELISTED
DB Agriculture Long ETN due April 1, 2038
AGF
– –
-392
Closed -$4K
IMDZ
5585
DELISTED
Immune Design Corp.
IMDZ
– –
-330
Closed -$1K
AST
5586
DELISTED
Asterias Biotherapeutics Inc. Series A
AST
$0 ﹤0.01%
404
-41
-9% -$64
EMI
5587
DELISTED
Eaton Vance Michigan Municipal Income Trust
EMI
– –
-1,000
Closed -$12K
WMLP
5588
DELISTED
Westmoreland Resrc Partners, L.P
WMLP
$0 ﹤0.01%
38
– –
JMBA
5589
DELISTED
Jamba, Inc.
JMBA
– –
-15,750
Closed -$135K
RENX
5590
DELISTED
RELX N.V.
RENX
– –
-3,684
Closed -$77K
MTGE
5591
DELISTED
MTGE Investment Corp. Common Stock
MTGE
– –
-3,151
Closed -$56K
QINC
5592
DELISTED
First Trust RBA Quality Income ETF
QINC
– –
-7,545
Closed -$181K
IBMG
5593
DELISTED
iShares iBonds Sep 2018 Term Muni Bond ETF
IBMG
– –
-9,334
Closed -$237K
KODK.WS.A
5594
DELISTED
Eastman Kodak Company
KODK.WS.A
– –
-7
Closed –
ARLZ
5595
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
– –
-6,004
Closed -$9K
HCRF
5596
DELISTED
iShares Edge MSCI Multifactor Healthcare ETF
HCRF
– –
-1,850
Closed -$58K
MZF
5597
DELISTED
Managed Duration Inv Grd Muni Fd
MZF
– –
-11,675
Closed -$159K
KED
5598
DELISTED
Kayne Anderson Energy
KED
– –
-10,634
Closed -$165K
CYS
5599
DELISTED
CYS Investments Inc.
CYS
– –
-36,701
Closed -$246K
ABAX
5600
DELISTED
Abaxis Inc
ABAX
– –
-863
Closed -$61K
222 223
224
225 226

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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.