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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
CHKR
5601
DELISTED
CHESAPEAKE GRANITE WASH TRUST
CHKR
$0 ﹤0.01%
842
-1,200
-59% -$656
MNI
5602
DELISTED
The McClatchy Company Class A Common Stock
MNI
$0 ﹤0.01%
15
– –
TOO
5603
DELISTED
Teekay Offshore Partners L.P.
TOO
$0 ﹤0.01%
150
-213
-59% -$328
MLNT
5604
DELISTED
Melinta Therapeutics, Inc. Common Stock
MLNT
$0 ﹤0.01%
400
– –
GWR
5605
DELISTED
Genesee & Wyoming Inc.
GWR
– –
-508
Closed -$57K
PVTL
5606
DELISTED
Pivotal Software, Inc.
PVTL
– –
-1,378
Closed -$21K
LKSD
5607
DELISTED
LSC Communications, Inc.
LKSD
– –
-183
Closed –
CARB
5608
DELISTED
Carbonite Inc
CARB
– –
-10,272
Closed -$159K
EFBI
5609
DELISTED
Eagle Financial Bancorp, Inc. Common Stock
EFBI
– –
-35,000
Closed -$560K
CRZO
5610
DELISTED
Carrizo Oil & Gas Inc
CRZO
– –
-3,745
Closed -$32K
CRR
5611
DELISTED
Carbo Ceramics Inc.
CRR
– –
-893
Closed -$2K
INB
5612
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
– –
-17,315
Closed -$158K
ARTX
5613
DELISTED
Arotech Corporation
ARTX
– –
-200
Closed -$1K
ANFI
5614
DELISTED
AMIRA NATURE FOODS LTD
ANFI
– –
-9,633
Closed -$5K
ONCE
5615
DELISTED
Spark Therapeutics, Inc. Common Stock
ONCE
– –
-637
Closed -$61K
BSJJ
5616
DELISTED
Invesco BulletShares 2019 High Yield Corporate Bond ETF
BSJJ
– –
-249,854
Closed -$5.98M
BSCJ
5617
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
– –
-99,000
Closed -$2.08M
VSI
5618
DELISTED
Vitamin Shoppe Inc.
VSI
– –
-200
Closed -$1K
JMT
5619
DELISTED
Nuveen Mortgage Opportunity Term Fund 2
JMT
– –
-2,843
Closed -$63K
TUZ
5620
DELISTED
PIMCO 1-3 Year U.S. Treasury Index Exchange-Traded Fund
TUZ
– –
-14,926
Closed -$760K
ROAN
5621
DELISTED
Roan Resources, Inc.
ROAN
– –
-500
Closed -$1K
STI
5622
DELISTED
SunTrust Banks, Inc.
STI
– –
-25,984
Closed -$1.79M
FWP
5623
DELISTED
Forward Pharma A/S American Depositary Shares
FWP
– –
-1
Closed –
SEMG
5624
DELISTED
SEMGROUP CORPORATION
SEMG
– –
-384
Closed -$6K
CBM
5625
DELISTED
Cambrex Corporation
CBM
– –
-104
Closed -$6K
223 224
225
226 227

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HAM
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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.