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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
+4.39%
1 Year Est. Return
+27.61%
3 Year Est. Return
+43.58%
5 Year Est. Return
+60.23%
10 Year Est. Return
–
AUM
$6.68B
AUM Growth
+$415M
Cap. Flow
+$257M
Cap. Flow %
3.85%
Top 10 Hldgs %
13.36%
Holding
5,148
New
230
Increased
2,091
Reduced
1,537
Closed
230

Top Buys

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$65.5M
2
SPHB icon
Invesco S&P 500 High Beta ETF
SPHB
+$39.8M
3
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$39.7M
4
IWN icon
iShares Russell 2000 Value ETF
IWN
+$38.9M
5
ANGL icon
VanEck Fallen Angel High Yield Bond ETF
ANGL
+$18.5M

Top Sells

Rank Stock Value
1
IWS icon
iShares Russell Mid-Cap Value ETF
IWS
+$72.2M
2
HDV
iShares Core High Dividend ETF
HDV
+$37.9M
3
IVE icon
iShares S&P 500 Value ETF
IVE
+$19.1M
4
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$19M
5
USMV icon
iShares MSCI USA Min Vol Factor ETF
USMV
+$18.3M

Sector Composition

Rank Sector Weight
1 Consumer Staples 5.3%
2 Financials 5.29%
3 Technology 5.07%
4 Industrials 5.07%
5 Healthcare 4.51%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FFA
1376
First Trust Enhanced Equity Income Fund
FFA
$473M
$357K 0.01%
26,739
+2,353
+10% +$31.7K
FFWM
1377
DELISTED
First Foundation Inc
FFWM
$357K 0.01%
28,914
– –
IEP icon
1378
Icahn Enterprises
IEP
$5.33B
$357K 0.01%
7,045
+1,429
+25% +$75.4K
HR
1379
DELISTED
Healthcare Realty Trust Incorporated
HR
$357K 0.01%
10,482
-973
-8% -$34.2K
SAP icon
1380
SAP
SAP
$242B
$355K 0.01%
3,894
+221
+6% +$19K
VEEV icon
1381
Veeva Systems
VEEV
$41B
$354K 0.01%
8,585
+4,102
+92% +$159K
GER
1382
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
$354K 0.01%
5,409
-3,306
-38% -$212K
EIDO icon
1383
iShares MSCI Indonesia ETF
EIDO
$484M
$353K 0.01%
13,346
-2,327
-15% -$60K
HTGC icon
1384
Hercules Capital
HTGC
$3.17B
$353K 0.01%
25,979
+5,463
+27% +$72.8K
FAV
1385
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
$353K 0.01%
38,682
-6,405
-14% -$58.2K
DVYA icon
1386
iShares Asia/Pacific Dividend ETF
DVYA
$71.5M
$352K 0.01%
7,567
+103
+1% +$4.74K
JMLP
1387
DELISTED
NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND
JMLP
$350K 0.01%
36,100
– –
MRSH
1388
Marsh
MRSH
$90B
$349K 0.01%
5,201
+433
+9% +$29K
VOOV icon
1389
Vanguard S&P 500 Value ETF
VOOV
$6.8B
$349K 0.01%
3,826
-1,700
-31% -$156K
BMS
1390
DELISTED
Bemis
BMS
$348K 0.01%
6,837
-219
-3% -$11.3K
MLN icon
1391
VanEck Long Muni ETF
MLN
$684M
$347K 0.01%
16,648
+3,039
+22% +$63.6K
WAFD icon
1392
WaFd
WAFD
$2.81B
$346K 0.01%
12,994
-459
-3% -$11.8K
WWAV
1393
DELISTED
The WhiteWave Foods Company
WWAV
$346K 0.01%
6,373
-19,487
-75% -$1.07M
SABR icon
1394
Sabre
SABR
$892M
$345K 0.01%
12,250
-1,360
-10% -$38K
EWN icon
1395
iShares MSCI Netherlands ETF
EWN
$735M
$344K 0.01%
13,709
-1,894
-12% -$45.9K
IAGG icon
1396
iShares Core International Aggregate Bond Fund
IAGG
$11.4B
$343K 0.01%
6,400
+1,800
+39% +$96.1K
SPE
1397
Special Opportunities Fund
SPE
$145M
$343K 0.01%
24,104
– –
UNIT
1398
Uniti Group
UNIT
$2.38B
$343K 0.01%
10,939
-2,865
-21% -$88K
MNDT
1399
DELISTED
Mandiant, Inc. Common Stock
MNDT
$343K 0.01%
23,368
-3,405
-13% -$52.3K
ELLI
1400
DELISTED
Ellie Mae Inc
ELLI
$343K 0.01%
3,259
+2,821
+644% +$273K
54 55
56
57 58

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HAM
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CM
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TRAM
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CONA
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Ladenburg Thalmann Financial Services's Q3 2016 Portfolio in Review

As of Q3 2016, Ladenburg Thalmann Financial Services held 5,148 positions worth $6.68B, up 6.6% from $6.26B the previous quarter. Its ten largest holdings account for 13% of the portfolio.

Ladenburg Thalmann Financial Services deployed $257M of net new capital in Q3 2016, opening 230 new positions and adding to 2,091 existing holdings. Its largest new stake was Nuveen High Income December 2019 Target Term Fund: 83,175 shares worth $849K.

By sector, the portfolio is most concentrated in Consumer Staples at 5.3% of assets, down from 5.6% a quarter earlier, followed by Financials and Technology.

On the sell side, the largest reduction was iShares Russell Mid-Cap Value ETF, an estimated $72.2M trimmed.

  • Ladenburg Thalmann Financial Services's largest Q3 2016 buy was Nuveen High Income December 2019 Target Term Fund: 83,175 shares worth $849K.
  • Ladenburg Thalmann Financial Services added most to iShares Russell 2000 ETF in Q3 2016, an estimated $65.5M increase.
  • Ladenburg Thalmann Financial Services's biggest Q3 2016 reduction was iShares Russell Mid-Cap Value ETF, cutting an estimated $72.2M.
  • Ladenburg Thalmann Financial Services fully exited EMC CORPORATION in Q3 2016, selling an estimated $1.46M.
  • Ladenburg Thalmann Financial Services's ten largest holdings make up 13% of its $6.68B portfolio in Q3 2016.
  • Ladenburg Thalmann Financial Services opened 230 new positions and closed 230 in Q3 2016.
  • Ladenburg Thalmann Financial Services's portfolio value rose 6.6% quarter-over-quarter to $6.68B.

Based on Ladenburg Thalmann Financial Services's 13F filing for Q3 2016, filed 14 Nov 2016.