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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
+3.43%
1 Year Est. Return
+16.9%
3 Year Est. Return
+319.94%
5 Year Est. Return
+374.97%
10 Year Est. Return
–
AUM
$100M
AUM Growth
-$16.2M
Cap. Flow
-$17.5M
Cap. Flow %
-17.42%
Top 10 Hldgs %
71.36%
Holding
138
New
33
Increased
18
Reduced
17
Closed
68

Top Buys

Rank Stock Value
1
BTX
BlackRock Technology and Private Equity Term Trust
BTX
+$6.44M
2
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$4.46M
3
LBRDK icon
Liberty Broadband Class C
LBRDK
+$4.25M
4
TYG
Tortoise Energy Infrastructure Corp
TYG
+$3.97M
5
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$3.52M

Top Sells

Rank Stock Value
1
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$11.6M
2
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$8.17M
3
PHYS icon
Sprott Physical Gold
PHYS
+$5.95M
4
SJNK icon
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
+$3.27M
5
SCHZ icon
Schwab US Aggregate Bond ETF
SCHZ
+$2.99M

Sector Composition

Rank Sector Weight
1 Communication Services 8.09%
2 Financials 4.89%
3 Technology 2.37%
4 Energy 1.08%
5 Industrials 0.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CDIO icon
76
Cardio Diagnostics
CDIO
$4.62M
– –
-1,203
Closed -$362K
CII icon
77
BlackRock Enhanced Captial and Income Fund
CII
$988M
– –
-14,199
Closed -$233K
COCH icon
78
Envoy Medical
COCH
$51.7M
– –
-36,271
Closed -$356K
CWEN.A
79
DELISTED
Clearway Energy Class A
CWEN.A
– –
-12,056
Closed -$350K
DIAX
80
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
– –
-17,026
Closed -$229K
EFT
81
Eaton Vance Floating-Rate Income Trust
EFT
$283M
– –
-19,557
Closed -$222K
EMO
82
ClearBridge Energy Midstream Opportunity Fund
EMO
$1.03B
– –
-34,321
Closed -$858K
EOS
83
Eaton Vance Enhance Equity Income Fund II
EOS
$1.13B
– –
-20,297
Closed -$310K
ESLA icon
84
Estrella Immunopharma
ESLA
$30.7M
– –
-63,957
Closed -$643K
ETY icon
85
Eaton Vance Tax-Managed Diversified Equity Income Fund
ETY
$2.29B
– –
-35,865
Closed -$389K
EXG icon
86
Eaton Vance Tax-Managed Global Diversified Equity Income Fund
EXG
$2.99B
– –
-37,400
Closed -$271K
FRA icon
87
BlackRock Floating Rate Income Strategies Fund
FRA
$383M
– –
-37,220
Closed -$409K
GOOG icon
88
Alphabet (Google) Class C
GOOG
$4.36T
– –
-30,323
Closed -$2.92M
HIX
89
Western Asset High Income Fund II
HIX
$349M
– –
-76,797
Closed -$334K
HYT icon
90
BlackRock Corporate High Yield Fund
HYT
$1.36B
– –
-26,494
Closed -$226K
IGIB icon
91
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
– –
-41,662
Closed -$2.01M
NML
92
Neuberger Energy Infrastructure and Income Fund Inc
NML
$593M
– –
-61,196
Closed -$374K
NVG icon
93
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.68B
– –
-18,952
Closed -$221K
PAGP icon
94
Plains GP Holdings
PAGP
$5.21B
– –
-66,572
Closed -$726K
PFL
95
PIMCO Income Strategy Fund
PFL
$384M
– –
-40,484
Closed -$322K
SJNK icon
96
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.89B
– –
-137,452
Closed -$3.27M
TLSI icon
97
TriSalus Life Sciences
TLSI
$279M
– –
-30,051
Closed -$298K
VCV icon
98
Invesco California Value Municipal Income Trust
VCV
$518M
– –
-43,245
Closed -$388K
ZVSA
99
DELISTED
ZyVersa Therapeutics
ZVSA
– –
-83
Closed -$290K
SOC icon
100
Sable Offshore Corp
SOC
$1.01B
– –
-60,301
Closed -$592K
2 3
4
5 6

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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 2022 Portfolio in Review

As of Q4 2022, OTA Financial Group held 138 positions worth $100M, down 14% from $117M the previous quarter. Its ten largest holdings account for 71% of the portfolio.

OTA Financial Group withdrew a net $17.5M in Q4 2022, closing 68 positions and reducing 17 holdings. Its most notable exit was Expand Energy Corp Class B Warrants, an estimated $11.6M position sold in full.

By sector, the portfolio is most concentrated in Communication Services at 8.1% of assets, up from 5.3% a quarter earlier, followed by Financials and Technology.

Against the trend, OTA Financial Group opened a new position in iShares Core US Aggregate Bond ETF worth $4.47M.

  • OTA Financial Group's largest Q4 2022 buy was iShares Core US Aggregate Bond ETF: 46,069 shares worth $4.47M.
  • OTA Financial Group added most to BlackRock Technology and Private Equity Term Trust in Q4 2022, an estimated $6.44M increase.
  • OTA Financial Group's biggest Q4 2022 reduction was Sprott Physical Gold, cutting an estimated $5.95M.
  • OTA Financial Group fully exited Expand Energy Corp Class B Warrants in Q4 2022, selling an estimated $11.6M.
  • OTA Financial Group's ten largest holdings make up 71% of its $100M portfolio in Q4 2022.
  • OTA Financial Group opened 33 new positions and closed 68 in Q4 2022.
  • OTA Financial Group's portfolio value fell 14% quarter-over-quarter to $100M.

Based on OTA Financial Group's 13F filing for Q4 2022, filed 9 Feb 2023.