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OFG

OTA Financial Group Portfolio holdings

AUM $143M
1-Year Est. Return 16.9%
This Fund
S&P 500
This Quarter Est. Return
+3.12%
1 Year Est. Return
+16.9%
3 Year Est. Return
+319.94%
5 Year Est. Return
+374.97%
10 Year Est. Return
–
AUM
$178K
AUM Growth
-$217M
Cap. Flow
-$58M
Cap. Flow %
-32,518%
Top 10 Hldgs %
72.74%
Holding
124
New
46
Increased
10
Reduced
11
Closed
53

Top Buys

Rank Stock Value
1
GM.WS.A
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
+$11.4M
2
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$5.37M
3
EEM icon
iShares MSCI Emerging Markets ETF
EEM
+$4.5M
4
SLV icon
iShares Silver Trust
SLV
+$3.64M
5
USIG icon
iShares Broad USD Investment Grade Corporate Bond ETF
USIG
+$2.48M

Top Sells

Rank Stock Value
1
NWSA
NEWS CORPORATION CL-A
NWSA
+$11.6M
2
OCR.PRB
OMNICARE CAP TR II SER B 4% TR PFD INCM EQTY REDM SEC PIERS
OCR.PRB
+$7.92M
3
PHYS icon
Sprott Physical Gold
PHYS
+$6.86M
4
NWS
THE NEWS CORPORATION LTD CL-B
NWS
+$6.02M
5
FXY icon
Invesco CurrencyShares Japanese Yen Trust
FXY
+$5.85M

Sector Composition

Rank Sector Weight
1 Energy 3.88%
2 Financials 1.62%
3 Real Estate 1.27%
4 Materials 1.06%
5 Communication Services 0.74%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CLF icon
26
Cleveland-Cliffs
CLF
$6.99B
$947 0.53%
46,199
-33,419
-42% -$688K
VALE icon
27
Vale
VALE
$62.9B
$946 0.53%
+60,628
New +$897K
BBL
28
DELISTED
BHP Group Plc American Depositary Shares (Each representing two Ordinary Shares)
BBL
$928 0.52%
+15,776
New +$919K
EFA icon
29
iShares MSCI EAFE ETF
EFA
$76.8B
$918 0.51%
+14,400
New +$882K
VEA icon
30
Vanguard FTSE Developed Markets ETF
VEA
$227B
$858 0.48%
21,681
+1,289
+6% +$49.1K
KMR
31
DELISTED
KINDER MORGAN MANAGEMENT LLC
KMR
$805 0.45%
+11,687
New +$856K
HIG icon
32
Hartford Financial Services
HIG
$38.4B
$745 0.42%
+23,950
New +$748K
HYD icon
33
VanEck High Yield Muni ETF
HYD
$4.45B
$686 0.38%
+11,750
New +$687K
RDS.A
34
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$686 0.38%
10,454
-2,503
-19% -$164K
AMOV
35
DELISTED
America Movil SAB de CV
AMOV
$632 0.35%
33,477
-20,414
-38% -$396K
STSA
36
DELISTED
STERLING FINL CORP (WA) COM NEW
STSA
$541 0.3%
+18,895
New +$500K
PML
37
PIMCO Municipal Income Fund II
PML
$486M
$520 0.29%
+47,214
New +$522K
MET icon
38
MetLife
MET
$61.2B
$512 0.29%
+12,251
New +$528K
NIO
39
DELISTED
NUVEEN MUNICIPAL OPPORTUNITY FUND INC
NIO
$490 0.27%
+37,721
New +$491K
IIM icon
40
Invesco Value Municipal Income Trust
IIM
$585M
$479 0.27%
35,375
+8,508
+32% +$115K
PNG
41
DELISTED
PAA NATURAL GAS STORAGE, L.P. COM UNIT LTD PARTNERSHIP
PNG
$476 0.27%
+20,445
New +$448K
FAX
42
abrdn Asia-Pacific Income Fund
FAX
$597M
$463 0.26%
12,755
-1,141
-8% -$41.7K
TFCF
43
DELISTED
Twenty-First Century Fox, Inc. Class B
TFCF
$454 0.25%
+13,596
New +$429K
NQS
44
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$445 0.25%
+35,089
New +$445K
SJNK icon
45
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.88B
$442 0.25%
14,480
-916
-6% -$27.9K
EOS
46
Eaton Vance Enhance Equity Income Fund II
EOS
$1.13B
$404 0.23%
+34,448
New +$407K
FIF
47
DELISTED
FIRST TRUST ENERGY INFRASTRUCTURE FUND
FIF
$404 0.23%
+18,783
New +$431K
CEM
48
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$400 0.22%
+3,007
New +$410K
JPC icon
49
Nuveen Preferred & Income Opportunities Fund
JPC
$2.89B
$373 0.21%
+42,998
New +$387K
GWX icon
50
State Street SPDR S&P International Small Cap ETF
GWX
$863M
$346 0.19%
+10,585
New +$330K
1
2
3 4 5

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LAM
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OTA Financial Group's Q3 2013 Portfolio in Review

As of Q3 2013, OTA Financial Group held 124 positions worth $178K, down 100% from $218M the previous quarter. Its ten largest holdings account for 73% of the portfolio.

OTA Financial Group withdrew a net $58M in Q3 2013, closing 53 positions and reducing 11 holdings. Its most notable exit was NEWS CORPORATION CL-A, an estimated $11.6M position sold in full.

By sector, the portfolio is most concentrated in Energy at 3.9% of assets, up from 1.9% a quarter earlier, followed by Financials and Real Estate.

Against the trend, OTA Financial Group opened a new position in Vanguard FTSE Emerging Markets ETF worth $5.44K.

  • OTA Financial Group's largest Q3 2013 buy was Vanguard FTSE Emerging Markets ETF: 135,653 shares worth $5.44K.
  • OTA Financial Group added most to GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016) in Q3 2013, an estimated $11.4M increase.
  • OTA Financial Group's biggest Q3 2013 reduction was Sprott Physical Gold, cutting an estimated $6.86M.
  • OTA Financial Group fully exited NEWS CORPORATION CL-A in Q3 2013, selling an estimated $11.6M.
  • OTA Financial Group's ten largest holdings make up 73% of its $178K portfolio in Q3 2013.
  • OTA Financial Group opened 46 new positions and closed 53 in Q3 2013.
  • OTA Financial Group's portfolio value fell 100% quarter-over-quarter to $178K.

Based on OTA Financial Group's 13F filing for Q3 2013, filed 12 Nov 2013.