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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
-0.77%
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
$1.49B
AUM Growth
-$101M
Cap. Flow
-$1.14B
Cap. Flow %
-76.74%
Top 10 Hldgs %
25.08%
Holding
302
New
5
Increased
60
Reduced
18
Closed
18

Top Buys

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$15.2M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$14.9M
3
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$3.43M
4
IBB icon
iShares Biotechnology ETF
IBB
+$2.68M
5
NEE.PRQ
NextEra Energy, Inc. 6.219% Corporate Units
NEE.PRQ
+$1.98M

Top Sells

Rank Stock Value
1
AVGOP
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
+$28.3M
2
KKR.PRC
KKR & Co. Inc. 6.00% Series C Mandatory Convertible Preferred Stock
KKR.PRC
+$8.55M
3
APTV.PRA
Aptiv PLC 5.50% Series A Mandatory Convertible Preferred Shares
APTV.PRA
+$7.16M
4
IYW icon
iShares US Technology ETF
IYW
+$4.85M
5
TBF icon
ProShares Short 20+ Year Treasury ETF
TBF
+$4.55M

Sector Composition

Rank Sector Weight
1 Technology 0.75%
2 Healthcare 0.46%
3 Financials 0.45%
4 Consumer Discretionary 0.31%
5 Communication Services 0.28%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVV icon
1
iShares Core S&P 500 ETF
IVV
$878B
$71.5M 4.8%
199,236
+37,225
+23% +$14.9M
NEE.PRP
2
DELISTED
NextEra Energy, Inc. 5.279% Corporate Units
NEE.PRP
$29.8M 2%
601,470
+36,040
+6% +$1.88M
WFC.PRL icon
3
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.71B
$22.1M 1.48%
18,425
+12,185
+195% +$15.2M
IEF icon
4
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$19.8M 1.33%
205,890
+33,840
+20% +$3.43M
VXUS icon
5
Vanguard Total International Stock ETF
VXUS
$155B
$15.2M 1.02%
332,359
-3,571
-1% -$183K
DHR.PRB
6
DELISTED
Danaher Corporation 5.00% Mandatory Convertible Preferred Stock, Series B
DHR.PRB
$13.2M 0.89%
9,887
-3
-0% -$4.26K
NIMC
7
DELISTED
NiSource Inc. Series A Corporate Units
NIMC
$10.4M 0.7%
103,475
-5,890
-5% -$670K
AEPPZ
8
DELISTED
American Electric Power Company, Inc. Corporate Units
AEPPZ
$10.1M 0.68%
204,190
-13,540
-6% -$740K
LMBS icon
9
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$9.14M 0.61%
193,009
+16,689
+9% +$805K
PCGU
10
DELISTED
PG&E Corporation
PCGU
$8.63M 0.58%
75,310
-2,585
-3% -$283K
CWB icon
11
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.6B
$8.34M 0.56%
131,686
-3,641
-3% -$245K
BSX.PRA
12
DELISTED
Boston Scientific Corporation 5.50% Mandatory Convertible Preferred Stock, Series A
BSX.PRA
$7.75M 0.52%
75,780
-27,225
-26% -$2.88M
BDXB
13
DELISTED
Becton, Dickinson and Company Depositary Shares, each Representing a 1/20th Interest in a Share of 6.00% Mandatory Convertible Preferred Stock, Series B
BDXB
$7.64M 0.51%
163,725
-64,075
-28% -$3.21M
DTP
14
DELISTED
DTE Energy Company 2019 Corporate Units
DTP
$7.6M 0.51%
152,360
-15,345
-9% -$786K
VCSH icon
15
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$4.55M 0.31%
61,288
-9,382
-13% -$715K
TBF icon
16
ProShares Short 20+ Year Treasury ETF
TBF
$87.9M
$4.46M 0.3%
200,000
-223,000
-53% -$4.55M
FPE icon
17
First Trust Preferred Securities and Income ETF
FPE
$6.32B
$4.26M 0.29%
254,970
-66,707
-21% -$1.18M
FTSL icon
18
First Trust Senior Loan Fund ETF
FTSL
$2.32B
$4.19M 0.28%
94,963
-15,102
-14% -$681K
MSFT icon
19
Microsoft
MSFT
$3.45T
$3.69M 0.25%
15,868
+18
+0.1% +$4.75K
IEMG icon
20
iShares Core MSCI Emerging Markets ETF
IEMG
$150B
$3.69M 0.25%
85,957
-507
-0.6% -$24.3K
AAPL icon
21
Apple
AAPL
$4.54T
$3.48M 0.23%
25,218
+75
+0.3% +$11.8K
KKR.PRC
22
DELISTED
KKR & Co. Inc. 6.00% Series C Mandatory Convertible Preferred Stock
KKR.PRC
$3.28M 0.22%
60,282
-134,950
-69% -$8.55M
BAC.PRL icon
23
Bank of America Series L
BAC.PRL
$3.97B
$3.27M 0.22%
2,790
+445
+19% +$549K
IYW icon
24
iShares US Technology ETF
IYW
$23.6B
$2.84M 0.19%
38,699
-57,234
-60% -$4.85M
IBB icon
25
iShares Biotechnology ETF
IBB
$9.34B
$2.52M 0.17%
+21,577
New +$2.68M
1
2 3 4 5

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VIP
Vantage Investment Partners Kansas City, Missouri $1.45B AUM 18.96% 1-Year Est. Return
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 2022 Portfolio in Review

As of Q3 2022, SSI Investment Management held 302 positions worth $1.49B, down 6.4% from $1.59B the previous quarter. Its ten largest holdings account for 25% of the portfolio.

SSI Investment Management withdrew a net $1.14B in Q3 2022, closing 18 positions and reducing 18 holdings. Its most notable exit was Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A, an estimated $28.3M position sold in full.

By sector, the portfolio is most concentrated in Technology at 0.75% of assets, up from 0.75% a quarter earlier, followed by Healthcare and Financials.

Against the trend, SSI Investment Management opened a new position in iShares Biotechnology ETF worth $2.52M.

  • SSI Investment Management's largest Q3 2022 buy was iShares Biotechnology ETF: 21,577 shares worth $2.52M.
  • SSI Investment Management added most to Wells Fargo 7.5% Non Cumv Perp Conv in Q3 2022, an estimated $15.2M increase.
  • SSI Investment Management's biggest Q3 2022 reduction was KKR & Co. Inc. 6.00% Series C Mandatory Convertible Preferred Stock, cutting an estimated $8.55M.
  • SSI Investment Management fully exited Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A in Q3 2022, selling an estimated $28.3M.
  • SSI Investment Management's ten largest holdings make up 25% of its $1.49B portfolio in Q3 2022.
  • SSI Investment Management opened 5 new positions and closed 18 in Q3 2022.
  • SSI Investment Management's portfolio value fell 6.4% quarter-over-quarter to $1.49B.

Based on SSI Investment Management's 13F filing for Q3 2022, filed 4 Nov 2022.