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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
VIAB
5626
DELISTED
Viacom Inc. Class B
VIAB
– –
-27,032
Closed -$650K
LOR
5627
DELISTED
Lazard World Dividend & Income Fund, Inc.
LOR
– –
-13,147
Closed -$123K
DNBF
5628
DELISTED
DNB Financial Corp
DNBF
– –
-273
Closed -$12K
NVTR
5629
DELISTED
Nuvectra Corporation Common Stock
NVTR
– –
-1,500
Closed -$2K
MCRN
5630
DELISTED
Milacron Holdings Corp.
MCRN
– –
-854
Closed -$14K
SDT
5631
DELISTED
SANDRIDGE MISSISSIPPIAN TRUST I
SDT
– –
-3,424
Closed -$2K
NNC
5632
DELISTED
Nuveen North Carolina Quality Municipal Income Fund
NNC
– –
-4,683
Closed -$63K
ZF
5633
DELISTED
Virtus Total Return Fund Inc.
ZF
– –
-7,009
Closed -$78K
NTC
5634
DELISTED
Nuveen Connecticut Quality Municipal Income Fund
NTC
– –
-5,200
Closed -$69K
DOVA
5635
DELISTED
Dova Pharmaceuticals, Inc. Common Stock
DOVA
– –
-2,817
Closed -$79K
DEMG
5636
DELISTED
Xtrackers FTSE Emerging Comprehensive Factor ETF
DEMG
– –
-88
Closed -$2K
DF
5637
DELISTED
Dean Foods Company
DF
– –
-10,989
Closed -$12K
DESC
5638
DELISTED
Xtrackers Russell 2000 Comprehensive Factor ETF
DESC
– –
-1,389
Closed -$46K
AREX
5639
DELISTED
Approach Resources Inc.
AREX
– –
-504
Closed –
GHDX
5640
DELISTED
Genomic Health, Inc.
GHDX
– –
-2,435
Closed -$165K
BPL
5641
DELISTED
Buckeye Partners, L.P.
BPL
– –
-10,907
Closed -$449K
NRCG
5642
DELISTED
NRC Group Holdings Corp.
NRCG
– –
-400
Closed -$5K
UBNK
5643
DELISTED
United Financial Bancorp, Inc.
UBNK
– –
-10,750
Closed -$147K
OTIV
5644
DELISTED
OTI On Track Innovations Ltd
OTIV
– –
-500
Closed –
CVRS
5645
DELISTED
CORINDUS VASCULAR ROBOTICS, INC
CVRS
– –
-400
Closed -$2K
MDSO
5646
DELISTED
Medidata Solutions, Inc.
MDSO
– –
-309
Closed -$33K
RTEC
5647
DELISTED
Rudolph Technologies Inc
RTEC
– –
-814
Closed -$22K
AAC
5648
DELISTED
AAC Holdings
AAC
– –
-270
Closed –
SHOS
5649
DELISTED
Sears Hometown and Outlet Stores, Inc.
SHOS
– –
-12
Closed –
ALDR
5650
DELISTED
Alder Biopharmaceuticals
ALDR
– –
-2,866
Closed -$54K
224 225
226
227 228

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HAM
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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.