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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
+4.59%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$2.95B
AUM Growth
+$147M
Cap. Flow
+$36.4M
Cap. Flow %
1.23%
Top 10 Hldgs %
18.66%
Holding
4,031
New
225
Increased
1,492
Reduced
1,087
Closed
151

Top Buys

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$68M
2
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$30.7M
3
IWO icon
iShares Russell 2000 Growth ETF
IWO
+$29.2M
4
UST icon
ProShares Ultra 7-10 Year Treasury
UST
+$21.5M
5
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$15.8M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$50.1M
2
SSO icon
ProShares Ultra S&P500
SSO
+$33.5M
3
EMLC icon
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
+$27.6M
4
GLD icon
SPDR Gold Trust
GLD
+$21.4M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$20.5M

Sector Composition

Rank Sector Weight
1 Energy 4.74%
2 Industrials 4.14%
3 Technology 3.92%
4 Consumer Staples 3.86%
5 Healthcare 3.81%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFL
1101
PIMCO Income Strategy Fund
PFL
$388M
$164K 0.01%
14,137
+1,209
+9% +$13.9K
BKCC
1102
DELISTED
BlackRock Capital Investment Corporation
BKCC
$164K 0.01%
17,318
+670
+4% +$6.61K
IHE icon
1103
iShares US Pharmaceuticals ETF
IHE
$1.65B
$163K 0.01%
4,593
+747
+19% +$26.3K
VRTX icon
1104
Vertex Pharmaceuticals
VRTX
$135B
$163K 0.01%
2,227
+50
+2% +$3.98K
CPAY icon
1105
Corpay
CPAY
$26.8B
$163K 0.01%
1,479
– –
ETP
1106
DELISTED
Energy Transfer Partners, L.P.
ETP
$163K 0.01%
4,900
– –
BTU
1107
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$163K 0.01%
626
+27
+5% +$6.9K
ALU
1108
DELISTED
Alcatel-Lucent
ALU
$163K 0.01%
47,912
+6,652
+16% +$17K
PKB icon
1109
Invesco Building & Construction ETF
PKB
$398M
$162K 0.01%
7,980
-7,007
-47% -$138K
BAB icon
1110
Invesco Taxable Municipal Bond ETF
BAB
$1.01B
$161K 0.01%
5,893
-3,463
-37% -$95.2K
PCAR icon
1111
PACCAR
PCAR
$69.9B
$161K 0.01%
4,329
+48
+1% +$1.78K
SCHV
1112
Schwab US Large-Cap Value ETF
SCHV
$16.1B
$161K 0.01%
12,954
+2,076
+19% +$26K
HNW
1113
DELISTED
Pioneer Diversified High Income Fund
HNW
$160K 0.01%
7,631
-2,020
-21% -$40.3K
JWN
1114
DELISTED
Nordstrom
JWN
$160K 0.01%
2,838
-41
-1% -$2.42K
NTG
1115
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$160K 0.01%
592
– –
UPL
1116
DELISTED
Ultra Petroleum Corp. Common Stock
UPL
$160K 0.01%
7,789
– –
BEAM
1117
DELISTED
BEAM INC COM STK (DE)
BEAM
$160K 0.01%
2,473
-33
-1% -$2.12K
BN icon
1118
Brookfield
BN
$110B
$159K 0.01%
18,162
+26
+0.1% +$222
BSX icon
1119
Boston Scientific
BSX
$74.5B
$159K 0.01%
13,554
-5,510
-29% -$59.6K
RSPS icon
1120
Invesco S&P 500 Equal Weight Consumer Staples ETF
RSPS
$245M
$159K 0.01%
9,585
+515
+6% +$8.7K
TDC icon
1121
Teradata
TDC
$2.52B
$159K 0.01%
3,018
-98
-3% -$5.75K
TEL icon
1122
TE Connectivity
TEL
$63.1B
$159K 0.01%
3,115
+254
+9% +$12.7K
TSL
1123
DELISTED
Trina Solar Limited
TSL
$159K 0.01%
10,277
+9,777
+1,955% +$86.6K
OCR
1124
DELISTED
OMNICARE INC
OCR
$159K 0.01%
2,852
-8
-0.3% -$427
DLTR icon
1125
Dollar Tree
DLTR
$24.7B
$158K 0.01%
2,750
+85
+3% +$4.59K
43 44
45
46 47

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HAM
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TRAM
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Ladenburg Thalmann Financial Services's Q3 2013 Portfolio in Review

As of Q3 2013, Ladenburg Thalmann Financial Services held 4,031 positions worth $2.95B, up 5.3% from $2.8B the previous quarter. Its ten largest holdings account for 19% of the portfolio.

Ladenburg Thalmann Financial Services's Q3 2013 filing shows 225 new, 1,492 increased, 1,087 reduced and 151 closed positions. Its largest new stake was COLE REAL ESTATE INVESTMENTS, INC COM: 682,583 shares worth $8.34M. The largest sale was iShares Core S&P 500 ETF, an estimated $50.1M.

By sector, the portfolio is most concentrated in Energy at 4.7% of assets, down from 4.7% a quarter earlier, followed by Industrials and Technology.

  • Ladenburg Thalmann Financial Services's largest Q3 2013 buy was COLE REAL ESTATE INVESTMENTS, INC COM: 682,583 shares worth $8.34M.
  • Ladenburg Thalmann Financial Services added most to iShares 3-7 Year Treasury Bond ETF in Q3 2013, an estimated $68M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2013 reduction was iShares Core S&P 500 ETF, cutting an estimated $50.1M.
  • Ladenburg Thalmann Financial Services fully exited Arrow Dow Jones Global Yield ETF in Q3 2013, selling an estimated $464K.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 19% of its $2.95B portfolio in Q3 2013.
  • Ladenburg Thalmann Financial Services opened 225 new positions and closed 151 in Q3 2013.
  • Ladenburg Thalmann Financial Services's portfolio value rose 5.3% quarter-over-quarter to $2.95B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2013, filed 14 Nov 2013.