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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
AVTR.PRA
1
DELISTED
Avantor, Inc. Series A Mandatory Convertible Preferred Stock
AVTR.PRA
$32.3M 22.1%
+250,239
New +$30.3M
EXEEW
2
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$11M 7.53%
275,678
+239,268
+657% +$9.15M
PSLV icon
3
Sprott Physical Silver Trust
PSLV
$11.9B
$10.3M 7.05%
1,285,091
+502,031
+64% +$4.09M
NEE.PRO
4
DELISTED
NextEra Energy, Inc. 4.872% Corporate Units
NEE.PRO
$7.76M 5.31%
114,007
+99,150
+667% +$6.3M
PHYS icon
5
Sprott Physical Gold
PHYS
$14.6B
$7.64M 5.23%
532,340
+194,067
+57% +$2.74M
AGG icon
6
iShares Core US Aggregate Bond ETF
AGG
$138B
$7.02M 4.8%
+61,562
New +$7.04M
VCIT icon
7
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.1B
$6.03M 4.12%
+64,959
New +$6.08M
THRY icon
8
CALL
Thryv Holdings
THRY
$176M
$5.91M 4.04%
+143,700
New +$4.95M
OXY.WS icon
9
Occidental Petroleum Corp Warrants
OXY.WS
$33.1B
$4.75M 3.25%
376,947
-727,792
-66% -$9.99M
HYG icon
10
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$16.3B
$4.29M 2.93%
49,249
+30,565
+164% +$2.65M
VCSH icon
11
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$3.36M 2.3%
+41,389
New +$3.38M
EXEEZ
12
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$2.58M 1.77%
72,011
-38,519
-35% -$1.32M
RIOT icon
13
Riot Platforms
RIOT
$8.52B
$2.45M 1.68%
109,900
-44,500
-29% -$1.32M
PSTH
14
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$2.26M 1.55%
114,748
+28,114
+32% +$558K
BND icon
15
Vanguard Total Bond Market
BND
$158B
$2.25M 1.54%
26,532
-132,930
-83% -$11.3M
KYN icon
16
Kayne Anderson Energy Infrastructure Fund
KYN
$2.54B
$2.07M 1.41%
265,554
+225,554
+564% +$1.84M
MUDS
17
DELISTED
Mudrick Capital Acquisition Corporation II Class A Common Stock
MUDS
$1.88M 1.28%
188,851
+149,061
+375% +$1.48M
YSAC
18
DELISTED
Yellowstone Acquisition Company
YSAC
$1.63M 1.11%
159,899
+133,139
+498% +$1.35M
CEF icon
19
Sprott Physical Gold and Silver Trust
CEF
$7.44B
$1.52M 1.04%
+85,467
New +$1.52M
EXEEL
20
DELISTED
Expand Energy Corp Class C Warrants
EXEEL
$1.34M 0.91%
41,263
+26,438
+178% +$819K
QNGY
21
DELISTED
Quanergy Systems, Inc.
QNGY
$1.27M 0.87%
+6,324
New +$1.27M
NML
22
Neuberger Energy Infrastructure and Income Fund Inc
NML
$614M
$1.17M 0.8%
223,196
– –
PAA icon
23
Plains All American Pipeline
PAA
$17.5B
$1.14M 0.78%
121,886
-122,717
-50% -$1.23M
NTG
24
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$1.06M 0.72%
34,672
-569
-2% -$17.9K
ZG icon
25
Zillow
ZG
$7.11B
$1.03M 0.7%
+16,547
New +$1.19M
1
2 3 4 5

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LAM
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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.