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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
+2.27%
1 Year Est. Return
+16.9%
3 Year Est. Return
+319.94%
5 Year Est. Return
+374.97%
10 Year Est. Return
–
AUM
$146M
AUM Growth
+$63.3M
Cap. Flow
+$58.1M
Cap. Flow %
39.71%
Top 10 Hldgs %
66.35%
Holding
121
New
51
Increased
17
Reduced
9
Closed
39

Top Buys

Rank Stock Value
1
AVTR.PRA
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
+$30.3M
2
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$9.15M
3
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$7.04M
4
NEE.PRO
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
+$6.3M
5
VCIT icon
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
+$6.08M

Top Sells

Rank Stock Value
1
BND icon
Vanguard Total Bond Market
BND
+$11.3M
2
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$9.99M
3
IUSB icon
iShares Core Universal USD Bond ETF
IUSB
+$1.64M
4
GWB
Great Western Bancorp, Inc.
GWB
+$1.55M
5
SCHZ icon
Schwab US Aggregate Bond ETF
SCHZ
+$1.49M

Sector Composition

Rank Sector Weight
1 Financials 9.2%
2 Industrials 2.39%
3 Consumer Discretionary 2.29%
4 Technology 1.92%
5 Communication Services 1.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OSTR
76
DELISTED
Oyster Enterprises Acquisition Corp. Class A Common Stock
OSTR
$209K 0.14%
+21,429
New +$209K
SFIX
77
Stitch Fix
SFIX
$536M
$207K 0.14%
+10,954
New +$314K
DTRT
78
DELISTED
DTRT Health Acquisition Corp. Class A Common Stock
DTRT
$206K 0.14%
+20,754
New +$207K
DSL
79
DoubleLine Income Solutions Fund
DSL
$1.22B
$203K 0.14%
+12,604
New +$216K
ASTSW
80
DELISTED
AST SpaceMobile, Inc. Warrant
ASTSW
$203K 0.14%
70,020
-89,472
-56% -$350K
KVSA
81
DELISTED
Khosla Ventures Acquisition Co. Class A Common Stock
KVSA
$203K 0.14%
+21,022
New +$207K
KWAC
82
DELISTED
Kingswood Acquisition Corp.
KWAC
$202K 0.14%
+20,008
New +$202K
ADX icon
83
Adams Diversified Equity Fund
ADX
$3.13B
– –
-15,624
Closed -$309K
CII icon
84
BlackRock Enhanced Captial and Income Fund
CII
$988M
– –
-10,075
Closed -$203K
CWEN.A
85
DELISTED
Clearway Energy Class A
CWEN.A
– –
-31,204
Closed -$879K
MYSEW
86
Myseum.AI Inc Series A Warrant
MYSEW
$24K
– –
-23,971
Closed -$206K
EFT
87
Eaton Vance Floating-Rate Income Trust
EFT
$283M
– –
-15,009
Closed -$218K
EXG icon
88
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.99B
– –
-28,658
Closed -$286K
FOX icon
89
Fox Class B
FOX
$21.8B
– –
-15,928
Closed -$591K
GBTG icon
90
American Express Global Business Travel
GBTG
$4.93B
– –
-20,515
Closed -$200K
HOLO icon
91
MicroCloud Hologram
HOLO
$33.9M
– –
-5
Closed -$415K
IUSB icon
92
iShares Core Universal USD Bond ETF
IUSB
$42.9B
– –
-30,861
Closed -$1.64M
PCTTW
93
PureCycle Technologies Inc Warrant
PCTTW
$10M
– –
-59,914
Closed -$307K
PFL
94
PIMCO Income Strategy Fund
PFL
$384M
– –
-39,032
Closed -$453K
PFN
95
PIMCO Income Strategy Fund II
PFN
$698M
– –
-21,557
Closed -$218K
PMO
96
Franklin Municipal Opportunities Trust
PMO
$280M
– –
-14,638
Closed -$200K
RA
97
Brookfield Real Assets Income Fund
RA
$708M
– –
-10,276
Closed -$214K
SCHZ icon
98
Schwab US Aggregate Bond ETF
SCHZ
$10.5B
– –
-54,918
Closed -$1.49M
SPXX icon
99
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$332M
– –
-11,775
Closed -$201K
DM
100
DELISTED
Desktop Metal, Inc.
DM
– –
-7,559
Closed -$541K
1 2 3
4
5

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KCMRT
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LAM
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BFA
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CWAG
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PFG
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FNBOSM
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SAM
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OTA Financial Group's Q4 2021 Portfolio in Review

As of Q4 2021, OTA Financial Group held 121 positions worth $146M, up 76% from $83M the previous quarter. Its ten largest holdings account for 66% of the portfolio.

OTA Financial Group deployed $58.1M of net new capital in Q4 2021, opening 51 new positions and adding to 17 existing holdings. Its largest new stake was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 250,239 shares worth $32.3M.

By sector, the portfolio is most concentrated in Financials at 9.2% of assets, down from 13% a quarter earlier, followed by Industrials and Consumer Discretionary.

On the sell side, the largest reduction was Vanguard Total Bond Market, an estimated $11.3M trimmed.

  • OTA Financial Group's largest Q4 2021 buy was Avantor, Inc. Series A Mandatory Convertible Preferred Stock: 250,239 shares worth $32.3M.
  • OTA Financial Group added most to Expand Energy Corp Class A Warrants in Q4 2021, an estimated $9.15M increase.
  • OTA Financial Group's biggest Q4 2021 reduction was Vanguard Total Bond Market, cutting an estimated $11.3M.
  • OTA Financial Group fully exited iShares Core Universal USD Bond ETF in Q4 2021, selling an estimated $1.64M.
  • OTA Financial Group's ten largest holdings make up 66% of its $146M portfolio in Q4 2021.
  • OTA Financial Group opened 51 new positions and closed 39 in Q4 2021.
  • OTA Financial Group's portfolio value rose 76% quarter-over-quarter to $146M.

Based on OTA Financial Group's 13F filing for Q4 2021, filed 28 Jan 2022.