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SSI Investment Management Portfolio holdings

AUM $1.45B
1-Year Est. Return 5.8%
This Fund
S&P 500
This Quarter Est. Return
+1.04%
1 Year Est. Return
+5.8%
3 Year Est. Return
+11.81%
5 Year Est. Return
+13.07%
10 Year Est. Return
+29.97%
AUM
$1.3B
AUM Growth
+$75.6M
Cap. Flow
-$857M
Cap. Flow %
-65.99%
Top 10 Hldgs %
21.26%
Holding
305
New
16
Increased
8
Reduced
89
Closed
5

Top Buys

Rank Stock Value
1
NEE.PRR
NextEra Energy, Inc.
NEE.PRR
+$13.1M
2
SRE.PRA
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
+$12.3M
3
FTV.PRA
Fortive Corporation 5.00% Mandatory Convertible Preferred Stock, Series A
FTV.PRA
+$11.8M
4
IFFT
International Flavors & Fragrances Inc. 6.00% Tangible Equity Units
IFFT
+$5.63M
5
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$5.14M

Top Sells

Rank Stock Value
1
NEE.PRQ
NextEra Energy, Inc.
NEE.PRQ
+$12M
2
IRDMB
Iridium Communications Inc - 6.75% Series B
IRDMB
+$6.23M
3
IVV icon
iShares Core S&P 500 ETF
IVV
+$4.39M
4
BDXA
Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6
BDXA
+$3.3M
5
FPE icon
First Trust Preferred Securities and Income ETF
FPE
+$577K

Sector Composition

Rank Sector Weight
1 Financials 0.66%
2 Technology 0.62%
3 Healthcare 0.54%
4 Communication Services 0.38%
5 Industrials 0.32%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVV icon
1
iShares Core S&P 500 ETF
IVV
$871B
$51M 3.93%
174,337
-15,302
-8% -$4.39M
WFC.PRL icon
2
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.69B
$29.6M 2.28%
22,893
+2,341
+11% +$2.99M
BAC.PRL icon
3
Bank of America Series L
BAC.PRL
$3.98B
$23.7M 1.83%
18,317
+1,871
+11% +$2.4M
BDXA
4
DELISTED
Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6
BDXA
$23.1M 1.78%
354,022
-51,795
-13% -$3.3M
HES.PRA
5
DELISTED
Hess Corporation
HES.PRA
$13.5M 1.04%
170,145
+14,340
+9% +$1.05M
NEE.PRR
6
DELISTED
NextEra Energy, Inc.
NEE.PRR
$13M 1%
+226,595
New +$13.1M
SRE.PRA
7
DELISTED
Sempra Energy 6% Mandatory Convertible Preferred Stock, Series A
SRE.PRA
$12.1M 0.93%
+119,905
New +$12.3M
FTV.PRA
8
DELISTED
Fortive Corporation 5.00% Mandatory Convertible Preferred Stock, Series A
FTV.PRA
$12.1M 0.93%
+11,284
New +$11.8M
AGG icon
9
iShares Core US Aggregate Bond ETF
AGG
$138B
$9.71M 0.75%
92,035
-30
-0% -$3.18K
CCI.PRA
10
DELISTED
Crown Castle International Corp. 6.875% Mandatory Convertible Preferred Stock, Series A
CCI.PRA
$9.09M 0.7%
8,406
+656
+8% +$710K
DYNC
11
DELISTED
Vistra Energy Corp.
DYNC
$6.68M 0.51%
69,000
– –
FEX icon
12
First Trust Large Cap Core AlphaDEX Fund
FEX
$1.58B
$5.95M 0.46%
95,286
-176
-0.2% -$10.8K
SWP
13
DELISTED
Stanley Black & Decker, Inc. Corporate Units
SWP
$5.78M 0.45%
52,433
+4,280
+9% +$468K
FLOT icon
14
iShares Floating Rate Bond ETF
FLOT
$10.2B
$5.71M 0.44%
111,939
+100,802
+905% +$5.14M
IFFT
15
DELISTED
International Flavors & Fragrances Inc. 6.00% Tangible Equity Units
IFFT
$5.65M 0.44%
+103,750
New +$5.63M
FLG.PRU
16
Flagstar Bank National Association Bifurcated Option Note Unit Securities
FLG.PRU
$119M
$5.46M 0.42%
111,500
+25,000
+29% +$1.24M
LMBS icon
17
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$4.92M 0.38%
96,472
– –
TBF icon
18
ProShares Short 20+ Year Treasury ETF
TBF
$85.7M
$3.43M 0.26%
146,634
– –
VRTSP
19
DELISTED
Virtus Investment Partners, Inc. 7.25% Series D Mandatory Convertible Preferred Stock
VRTSP
$3.41M 0.26%
34,501
– –
IYW icon
20
iShares US Technology ETF
IYW
$23B
$2.95M 0.23%
60,716
– –
FTSL icon
21
First Trust Senior Loan Fund ETF
FTSL
$2.32B
$2.77M 0.21%
57,713
+275
+0.5% +$13.2K
FTXO icon
22
First Trust Nasdaq Bank ETF
FTXO
$308M
$2.67M 0.21%
95,810
– –
QTS.PRB
23
DELISTED
QTS Realty Trust, Inc. 6.50% Series B Cumulative Convertible Perpetual Preferred Stock
QTS.PRB
$2.63M 0.2%
+25,000
New +$2.69M
AAPL icon
24
Apple
AAPL
$4.99T
$2.35M 0.18%
41,636
-208
-0.5% -$10.8K
FXH icon
25
First Trust Health Care AlphaDEX Fund
FXH
$1.05B
$2.3M 0.18%
27,090
– –
1
2 3 4 5

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VIP
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CHAM
Clear Harbor Asset Management Stamford, Connecticut $1.45B AUM 23.7% 1-Year Est. Return
DP
DDD Partners Bellevue, Washington $1.45B AUM 9.14% 1-Year Est. Return
HTI
Hikari Tsushin Inc Tokyo, Japan $1.45B AUM 3.37% 1-Year Est. Return
AT
Avalon Trust Santa Fe, New Mexico $1.45B AUM 35.31% 1-Year Est. Return
SIA
Strategic Investment Advisors Farmington Hills, Michigan $1.45B AUM 17.59% 1-Year Est. Return
CIM
Corda Investment Management Houston, Texas $1.45B AUM 22.99% 1-Year Est. Return
BFA
Beaumont Financial Advisors Needham, Massachusetts $1.46B AUM 21.07% 1-Year Est. Return

SSI Investment Management's Q3 2018 Portfolio in Review

As of Q3 2018, SSI Investment Management held 305 positions worth $1.3B, up 6.2% from $1.22B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

SSI Investment Management withdrew a net $857M in Q3 2018, closing 5 positions and reducing 89 holdings. Its most notable exit was NextEra Energy, Inc., an estimated $12M position sold in full.

By sector, the portfolio is most concentrated in Financials at 0.66% of assets, down from 0.68% a quarter earlier, followed by Technology and Healthcare.

Against the trend, SSI Investment Management opened a new position in NextEra Energy, Inc. worth $13M.

  • SSI Investment Management's largest Q3 2018 buy was NextEra Energy, Inc.: 226,595 shares worth $13M.
  • SSI Investment Management added most to iShares Floating Rate Bond ETF in Q3 2018, an estimated $5.14M increase.
  • SSI Investment Management's biggest Q3 2018 reduction was iShares Core S&P 500 ETF, cutting an estimated $4.39M.
  • SSI Investment Management fully exited NextEra Energy, Inc. in Q3 2018, selling an estimated $12M.
  • SSI Investment Management's ten largest holdings make up 21% of its $1.3B portfolio in Q3 2018.
  • SSI Investment Management opened 16 new positions and closed 5 in Q3 2018.
  • SSI Investment Management's portfolio value rose 6.2% quarter-over-quarter to $1.3B.

Based on SSI Investment Management's 13F filing for Q3 2018, filed 13 Nov 2018.