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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
$117M
AUM Growth
-$92.3M
Cap. Flow
-$104M
Cap. Flow %
-89.64%
Top 10 Hldgs %
65.26%
Holding
155
New
62
Increased
25
Reduced
17
Closed
50

Top Buys

Rank Stock Value
1
PHYS icon
Sprott Physical Gold
PHYS
+$14.1M
2
EXEEZ
Expand Energy Corp Class B Warrants
EXEEZ
+$10.8M
3
EXEEW
Expand Energy Corp Class A Warrants
EXEEW
+$7.94M
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$3.39M
5
BTX
BlackRock Technology and Private Equity Term Trust
BTX
+$3.13M

Top Sells

Rank Stock Value
1
OXY.WS icon
Occidental Petroleum Corp Warrants
OXY.WS
+$125M
2
PSLV icon
Sprott Physical Silver Trust
PSLV
+$10.1M
3
BND icon
Vanguard Total Bond Market
BND
+$6.93M
4
SCHZ icon
Schwab US Aggregate Bond ETF
SCHZ
+$4.34M
5
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$2.47M

Sector Composition

Rank Sector Weight
1 Financials 9.63%
2 Communication Services 5.34%
3 Healthcare 2.28%
4 Technology 1.53%
5 Industrials 1.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
OXY.WS icon
1
Occidental Petroleum Corp Warrants
OXY.WS
$33.6B
$20.5M 17.62%
518,265
-2,971,935
-85% -$125M
PHYS icon
2
Sprott Physical Gold
PHYS
$14.6B
$17.1M 14.71%
1,338,672
+1,050,619
+365% +$14.1M
EXEEZ
3
DELISTED
Expand Energy Corp Class B Warrants
EXEEZ
$11.6M 9.91%
+146,213
New +$10.8M
EXEEW
4
DELISTED
Expand Energy Corp Class A Warrants
EXEEW
$8.17M 7.01%
+101,870
New +$7.94M
SCHZ icon
5
Schwab US Aggregate Bond ETF
SCHZ
$10.5B
$4.11M 3.53%
181,426
-182,434
-50% -$4.34M
SJIV
6
DELISTED
South Jersey Industries, Inc. Corporate Units
SJIV
$3.64M 3.12%
54,633
-21,862
-29% -$1.49M
SJNK icon
7
State Street SPDR Bloomberg Short Term High Yield Bond ETF
SJNK
$4.89B
$3.27M 2.8%
137,452
+97,450
+244% +$2.4M
GOOG icon
8
Alphabet (Google) Class C
GOOG
$3.88T
$2.92M 2.5%
+30,323
New +$3.39M
BTX
9
BlackRock Technology and Private Equity Term Trust
BTX
$973M
$2.72M 2.33%
+373,990
New +$3.13M
IGIB icon
10
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.3B
$2.01M 1.73%
+41,662
New +$2.13M
LBRDK icon
11
Liberty Broadband Class C
LBRDK
$4.26B
$1.82M 1.56%
24,704
-906
-4% -$96.4K
SRNE
12
CALL
DELISTED
Sorrento Therapeutics, Inc.
SRNE
$1.72M 1.48%
1,098,400
-232,600
-17% -$528K
BMEZ icon
13
BlackRock Health Sciences Trust II
BMEZ
$949M
$1.59M 1.36%
+106,499
New +$1.76M
ECAT icon
14
BlackRock ESG Capital Allocation Term Trust
ECAT
$1.51B
$1.34M 1.15%
+104,741
New +$1.52M
BNT
15
Brookfield Wealth Solutions
BNT
$11.5B
$1.11M 0.95%
+40,761
New +$1.31M
AENT icon
16
Alliance Entertainment
AENT
$301M
$1.03M 0.89%
104,106
+23,616
+29% +$234K
BCAT icon
17
BlackRock Capital Allocation Term Trust
BCAT
$1.62B
$1.02M 0.88%
+75,308
New +$1.12M
CEM
18
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$1.01M 0.87%
33,999
+11,877
+54% +$384K
NTG
19
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$922K 0.79%
28,567
+11,345
+66% +$401K
EMO
20
ClearBridge Energy Midstream Opportunity Fund
EMO
$1.06B
$858K 0.74%
34,321
+12,942
+61% +$352K
PAGP icon
21
Plains GP Holdings
PAGP
$5.25B
$726K 0.62%
+66,572
New +$763K
GACQ
22
DELISTED
Global Consumer Acquisition Corp. Common Stock
GACQ
$647K 0.56%
63,567
+1,771
+3% +$18K
ESLA icon
23
Estrella Immunopharma
ESLA
$32.9M
$643K 0.55%
63,957
+13,583
+27% +$136K
DRE
24
DELISTED
Duke Realty Corp.
DRE
$598K 0.51%
12,422
-14,271
-53% -$836K
BNNR
25
DELISTED
Banner Acquisition Corp. Class A Common Stock
BNNR
$595K 0.51%
60,187
+2,253
+4% +$22.3K
1
2 3 4 5

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OTA Financial Group's Q3 2022 Portfolio in Review

As of Q3 2022, OTA Financial Group held 155 positions worth $117M, down 44% from $209M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

OTA Financial Group withdrew a net $104M in Q3 2022, closing 50 positions and reducing 17 holdings. Its most notable exit was Sprott Physical Silver Trust, an estimated $10.1M position sold in full.

By sector, the portfolio is most concentrated in Financials at 9.6% of assets, up from 6.6% a quarter earlier, followed by Communication Services and Healthcare.

Against the trend, OTA Financial Group opened a new position in Expand Energy Corp Class B Warrants worth $11.6M.

  • OTA Financial Group's largest Q3 2022 buy was Expand Energy Corp Class B Warrants: 146,213 shares worth $11.6M.
  • OTA Financial Group added most to Sprott Physical Gold in Q3 2022, an estimated $14.1M increase.
  • OTA Financial Group's biggest Q3 2022 reduction was Occidental Petroleum Corp Warrants, cutting an estimated $125M.
  • OTA Financial Group fully exited Sprott Physical Silver Trust in Q3 2022, selling an estimated $10.1M.
  • OTA Financial Group's ten largest holdings make up 65% of its $117M portfolio in Q3 2022.
  • OTA Financial Group opened 62 new positions and closed 50 in Q3 2022.
  • OTA Financial Group's portfolio value fell 44% quarter-over-quarter to $117M.

Based on OTA Financial Group's 13F filing for Q3 2022, filed 17 Oct 2022.