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Disclosery

LADENBURG THALMANN FINANCIAL SERVICES INC.

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13F filer, CIK 1029730, MIAMI, FL

LADENBURG THALMANN FINANCIAL SERVICES INC. reported $14,499,758,000 across 5,528 holdings for the quarter ended 2019-09-30, in a 13F-HR filed 2019-11-14. Its ten largest share positions make up 14.27% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001493152-19-017222

Period
2019-09-30
Reported value
$14.5B
Holdings
5,528
Top 10 weight
14.27%
New
254
Sold out
216

Largest buys vs the previous quarter

SecurityShares changeApprox. value
IVVadded+259,034$77.3M
SPYadded+391,636$74.1M
SPYVadded+2,006,007$64.1M
JNKadded+346,657$37.6M
USMVadded+582,126$37.3M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
SPYGreduced-2,420,868-$94M
IEFreduced-541,320-$60.9M
MTUMreduced-283,747-$33.8M
SPTLreduced-534,889-$21.9M
SPTIreduced-476,912-$14.9M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2019

Share positions as resolved from 13F-HR 0001493152-19-017222, largest first. % of portfolio is the value over $14,499,758,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
RENREN INCRENREN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 80 shares; 2018Q2: 80 shares; 2018Q3: 40 shares; 2018Q4: 40 shares; 2019Q1: 40 shares; 2019Q2: 40 shares; 2019Q3: 40 shares 40$00%0Value filed as zero, left out of ratios.
CIVEO CORP CDACIVEO CORP CDAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 11,469 shares; 2018Q2: 11,469 shares; 2018Q3: 157 shares; 2018Q4: 157 shares; 2019Q1: 157 shares; 2019Q2: 157 shares; 2019Q3: 157 shares 157$00%0Value filed as zero, left out of ratios.
DIREXION SHS ETF TRDIREXION SHS ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 2 shares; 2018Q4: 2 shares; 2019Q1: 2 shares; 2019Q2: 2 shares; 2019Q3: 2 shares 2$00%0Value filed as zero, left out of ratios.
EMPIRE RESORTS INCEMPIRE RESORTS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 107 shares; 2018Q2: 107 shares; 2018Q3: 107 shares; 2018Q4: 47 shares; 2019Q1: 47 shares; 2019Q2: 47 shares; 2019Q3: 47 shares 47$00%0Value filed as zero, left out of ratios.
PB BANCORP INCPB BANCORP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: 13 shares; 2019Q3: 13 shares 13$00%0Value filed as zero, left out of ratios.
SANCHEZ MIDSTEAM PARTNERS LPSANCHEZ MIDSTEAM PARTNERS LPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 100 shares; 2018Q2: 100 shares; 2018Q3: 100 shares; 2018Q4: 100 shares; 2019Q1: 100 shares; 2019Q2: 100 shares; 2019Q3: 100 shares 100$00%0Value filed as zero, left out of ratios.
STANDARD DIVERSIFIED INCSTANDARD DIVERSIFIED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: 4 shares; 2019Q3: 4 shares 4$00%0Value filed as zero, left out of ratios.
TRACON PHARMACEUTICALS INCTRACON PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 300 shares; 2018Q4: 300 shares; 2019Q1: 300 shares; 2019Q2: 300 shares; 2019Q3: 300 shares 300$00%0Value filed as zero, left out of ratios.
MAJESCOMAJESCOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: 18 shares; 2019Q3: 18 shares 18$00%0Value filed as zero, left out of ratios.
MCCLATCHY COMCCLATCHY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 150 shares; 2018Q2: 150 shares; 2018Q3: 165 shares; 2018Q4: 165 shares; 2019Q1: 165 shares; 2019Q2: 165 shares; 2019Q3: 15 shares 15$00%-150Value filed as zero, left out of ratios.
PHIO PHARMACEUTICALS CORPPHIO PHARMACEUTICALS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 3,000 shares; 2019Q1: 3,000 shares; 2019Q2: 3,000 shares; 2019Q3: 3,000 shares 3,000$00%0Value filed as zero, left out of ratios.
OBALON THERAPEUTICS INC COM…OBALON THERAPEUTICS INC COM NEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 100 shares 100$00%newValue filed as zero, left out of ratios.
NAVIOS MARITIME CHG CONTAIN…NAVIOS MARITIME CHG CONTAINERS LP…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 535 shares; 2019Q1: 506 shares; 2019Q2: 427 shares; 2019Q3: 191 shares 191$00%-236Value filed as zero, left out of ratios.
IMEDIA BRANDS INC COM CL AIMEDIA BRANDS INC COM CL AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 100 shares 100$00%newValue filed as zero, left out of ratios.
INVIVO THERAPEUTICS HLDGS C…INVIVO THERAPEUTICS HLDGS CO COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 209 shares; 2018Q4: 181 shares; 2019Q1: 181 shares; 2019Q2: 181 shares; 2019Q3: 181 shares 181$00%0Value filed as zero, left out of ratios.
XPRESSPA GROUP INC COM NEWXPRESSPA GROUP INC COM NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: 83 shares; 2019Q2: 33 shares; 2019Q3: 33 shares 33$00%0Value filed as zero, left out of ratios.
CAMBER ENERGY INC COMCAMBER ENERGY INC COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 229 shares 229$00%newValue filed as zero, left out of ratios.
RITTER PHARMACEUTICALS INC …RITTER PHARMACEUTICALS INC COM NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 500 shares; 2018Q2: 500 shares; 2018Q3: 500 shares; 2018Q4: 500 shares; 2019Q1: 500 shares; 2019Q2: 500 shares; 2019Q3: 500 shares 500$00%0Value filed as zero, left out of ratios.
SEQUENTIAL BRNDS GROUP ISEQUENTIAL BRNDS GROUP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 120 shares; 2018Q2: 120 shares; 2018Q3: 107 shares; 2018Q4: 51 shares; 2019Q1: 44 shares; 2019Q2: 44 shares; 2019Q3: 44 shares 44$00%0Value filed as zero, left out of ratios.
PROSHARES TRPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 6 shares; 2018Q2: 6 shares; 2018Q3: 6 shares; 2018Q4: 6 shares; 2019Q1: 6 shares; 2019Q2: 19 shares; 2019Q3: 13 shares 13$00%-6Value filed as zero, left out of ratios.
TALOS ENERGY INCTALOS ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: 62 shares; 2018Q4: 62 shares; 2019Q1: 62 shares; 2019Q2: 77 shares; 2019Q3: 62 shares 62$00%-15Value filed as zero, left out of ratios.
RELIV INTERNATIONAL INCRELIV INTERNATIONAL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: 14 shares; 2018Q2: 14 shares; 2018Q3: 14 shares; 2018Q4: 14 shares; 2019Q1: 14 shares; 2019Q2: 14 shares; 2019Q3: 14 shares 14$00%0Value filed as zero, left out of ratios.
VIVEVE MED INCVIVEVE MED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 9 shares 9$00%newValue filed as zero, left out of ratios.
RA MED SYS INCRA MED SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 134 shares; 2019Q1: 134 shares; 2019Q2: 134 shares; 2019Q3: 134 shares 134$00%0Value filed as zero, left out of ratios.
DROPCAR INCDROPCAR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 7 shares 7$00%newValue filed as zero, left out of ratios.
TONIX PHARMACEUTICALS HLDG CTONIX PHARMACEUTICALS HLDG CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 200 shares; 2019Q1: 200 shares; 2019Q2: 1,090 shares; 2019Q3: 1,090 shares 1,090$00%0Value filed as zero, left out of ratios.
RESTORATION ROBOTICS INCRESTORATION ROBOTICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: not reported; 2019Q1: not reported; 2019Q2: not reported; 2019Q3: 400 shares 400$00%newValue filed as zero, left out of ratios.
INPIXONINPIXONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2017Q4: restricted; 2018Q1: not reported; 2018Q2: not reported; 2018Q3: not reported; 2018Q4: 1 shares; 2019Q1: 1 shares; 2019Q2: 1 shares; 2019Q3: 1 shares 1$00%0Value filed as zero, left out of ratios.

Sold out in Q3 2019

Positions in the previous quarter's report that this quarter's report no longer lists.

The largest 100 of 216. All 216

SecurityShares beforeValue beforeType
BLACKSTONE GROUP LP/THEBLACKSTONE GROUP LP/THE174,857$7.77Mshares
TORCHMARK CORPTORCHMARK CORP36,422$3.26Mshares
HARRIS CORP INCHARRIS CORP INC13,472$2.55Mshares
AMERIGAS PARTNERS MLPAMERIGAS PARTNERS MLP46,333$1.62Mshares
L3 TECHNOLOGIES INCL3 TECHNOLOGIES INC4,797$1.18Mshares
ALPS ETF TRALPS ETF TR55,592$1.18Mshares
ANADARKO PETROLEUM CORPANADARKO PETROLEUM CORP15,133$1.09Mshares
BT GROUP-ADRBT GROUP-ADR84,465$1.08Mshares
Apollo Global ManagementApollo Global Management31,421$1.08Mshares
FIRST DATA CORP NEW COM CL AFIRST DATA CORP NEW COM CL A33,079$900Kshares
ALPS ETF TRALPS ETF TR28,407$825Kshares
HOSPITALITY PROPERTIES TRUSTHOSPITALITY PROPERTIES TRUST26,075$651Kshares
WORLDPAY INCWORLDPAY INC5,262$647Kshares
OAKTREE CAP GROUP LLCOAKTREE CAP GROUP LLC12,300$610Kshares
RED HAT INCRED HAT INC3,211$603Kshares
NORTHERN LTS FD TR IVNORTHERN LTS FD TR IV24,438$600Kshares
GSV CAPITAL CORPGSV CAPITAL CORP90,228$578Kshares
TOTAL SYS SVCS INCTOTAL SYS SVCS INC4,248$545Kshares
ISHARES TRISHARES TR16,822$428Kshares
TABLEAU SOFTWARE INCTABLEAU SOFTWARE INC2,365$392Kshares
MIDSTREAM PARTNERSMIDSTREAM PARTNERS65,679$340Kshares
ANDEAVOR LOGISTICS LP NPVANDEAVOR LOGISTICS LP NPV8,438$307Kshares
CNOBCONNECTONE BANCORP INC13,470$306Kshares
UBIQUITI NETWORKS INCUBIQUITI NETWORKS INC2,186$287Kshares
NORTHSTAR REALTY EUROPE CORPNORTHSTAR REALTY EUROPE CORP16,511$270Kshares
XEROX CORPXEROX CORP7,092$250Kshares
BTEBAYTEX ENERGY CORP128,575$198Kshares
WORLD GOLD TR SPDR LNG DLR …WORLD GOLD TR SPDR LNG DLR GLD1,270$176Kshares
TRIBUNE COMPANYTRIBUNE COMPANY3,554$164Kshares
ARRAY BIOPHARMA INC COMARRAY BIOPHARMA INC COM3,075$142Kshares
NEW YORK MTG TR INCNEW YORK MTG TR INC5,550$136Kshares
GLOBAL X FDSGLOBAL X FDS5,719$131Kshares
GENERAL MTRS COGENERAL MTRS CO6,253$127Kshares
WEIGHT WATCHERS INTL INCWEIGHT WATCHERS INTL INC6,571$125Kshares
CHEMICAL FINANCIAL CORPCHEMICAL FINANCIAL CORP2,914$120Kshares
TWITTER INCTWITTER INC120,000$119Kshares
TCF FINL CORPTCF FINL CORP5,483$114Kshares
NOAHNOAH HLDGS LTD2,650$112Kshares
CONTROL4 CORPCONTROL4 CORP4,066$97Kshares
ETF SER SOLUTIONSETF SER SOLUTIONS4,090$97Kshares
DBX ETF TRDBX ETF TR1,800$94Kshares
STOKSTOKE THERAPEUTICS INC3,000$88Kshares
MUSTCOLUMBIA ETF TR I4,100$88Kshares
TIAIYTELECOM ITALIA S P A NEW15,549$80Kshares
SPROTT PHYSICAL GOLD SILVERSPROTT PHYSICAL GOLD SILVER5,578$74Kshares
FINISAR CORPFINISAR CORP3,202$74Kshares
DIREXION SHS ETF TRDIREXION SHS ETF TR1,000$60Kshares
TIPTTIPTREE INC7,970$50Kshares
SPOKSPOK HLDGS INC3,000$45Kshares
ARATANA THERAPEUTICS INCARATANA THERAPEUTICS INC8,380$43Kshares
ROSETTA STONE INCROSETTA STONE INC1,782$42Kshares
HOPFED BANCORP INCHOPFED BANCORP INC2,024$38Kshares
TIIAYTELECOM ITALIA S P A SPONSORED6,515$36Kshares
PFFAETFIS SER TR I1,358$35Kshares
ENSCO ROWAN PLCENSCO ROWAN PLC3,915$34Kshares
PATTERN ENERGY GROUP INCPATTERN ENERGY GROUP INC30,000$30Kshares
SINOPEC SHANGHAI PETROCHEMICSINOPEC SHANGHAI PETROCHEMIC700$28Kshares
AURYN RES INCAURYN RES INC15,000$26Kshares
LIBERTY EXPEDIA HLDGS INCLIBERTY EXPEDIA HLDGS INC489$23Kshares
CHESAPEAKE LODGING TRCHESAPEAKE LODGING TR786$22Kshares
COHBAR INC COM NEWCOHBAR INC COM NEW12,500$22Kshares
ON DECK CAP INCON DECK CAP INC5,000$21Kshares
RED HAT INCRED HAT INC8,000$20Kshares
DOMINION ENERGY INCDOMINION ENERGY INC400$20Kshares
ETF SER SOLUTIONSETF SER SOLUTIONS850$19Kshares
IVALEA SERIES TRUST675$18Kshares
QVALEA SERIES TRUST632$18Kshares
ISHARES TRISHARES TR675$18Kshares
WAGEWORKS INCWAGEWORKS INC319$16Kshares
HYDROGENICS CORPORATION NEWHYDROGENICS CORPORATION NEW1,100$16Kshares
FLHYFRANKLIN TEMPLETON ETF TR593$15Kshares
ISHARESISHARES550$15Kshares
ENTEGRA FINL CORPENTEGRA FINL CORP500$15Kshares
ENABLE MIDSTREAM PARTNERS LPENABLE MIDSTREAM PARTNERS LP1,000$14Kshares
SOHUSOHU COM LTD1,000$14Kshares
ISHARES TRISHARES TR273$14Kshares
FIRST FINANCIAL NORTHWEST INFIRST FINANCIAL NORTHWEST IN907$13Kshares
INVESCO ACTIVELY MANAGED EX…INVESCO ACTIVELY MANAGED EXCHA LI…1,000$13Kshares
CUSHING RENAISSANCE FD RTCUSHING RENAISSANCE FD RT59,476$12Kshares
INTERSECT ENT INCINTERSECT ENT INC520$12Kshares
NEXTERA ENERGY INC CORPORATENEXTERA ENERGY INC CORPORATE183$12Kshares
ISHARES TRISHARES TR410$11Kshares
HALCON RES CORPHALCON RES CORP64,283$11Kshares
SHAW COMMUNICATIONS INCSHAW COMMUNICATIONS INC468$10Kshares
PANHANDLE OIL AND GAS INCPANHANDLE OIL AND GAS INC794$10Kshares
CSI COMPRESSCO LPCSI COMPRESSCO LP2,809$10Kshares
DBX ETF TRDBX ETF TR412$10Kshares
LENDINGCLUB CORPLENDINGCLUB CORP3,054$10Kshares
HERTZ GLOBAL HLDGS INCHERTZ GLOBAL HLDGS INC5,112$10Kshares
RIVRIVERNORTH OPPORTUNITIES FD500$9Kshares
ETRACS ALERIAN NAT GAS MLPETRACS ALERIAN NAT GAS MLP400$9Kshares
MTRXMATRIX SVC CO369$8Kshares
IRMDIRADIMED CORP370$8Kshares
INTREPID POTASH INCINTREPID POTASH INC2,500$8Kshares
CAPITOL INVT CORP IVCAPITOL INVT CORP IV832$8Kshares
TWSTTWIST BIOSCIENCE CORP225$7Kshares
CMTCORE MOLDING TECHNOLOGIES IN1,000$7Kshares
EEMOINVESCO EXCH TRADED FD TR II425$7Kshares
ELECTRONICS FOR IMAGING INCELECTRONICS FOR IMAGING INC188$7Kshares
ETF MANAGERS TRETF MANAGERS TR800$7Kshares

How Q3 2019 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001493152-19-017222 base2019-11-14acceptance time not in the bulk data set