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Tradewinds Capital Management Portfolio holdings

AUM $563M
1-Year Est. Return 41.52%
This Fund
S&P 500
This Quarter Est. Return
-3.38%
1 Year Est. Return
+41.52%
3 Year Est. Return
+85.22%
5 Year Est. Return
+87.07%
10 Year Est. Return
+307.92%
AUM
$128M
AUM Growth
-$14.6M
Cap. Flow
-$8.44M
Cap. Flow %
-6.6%
Top 10 Hldgs %
42.68%
Holding
761
New
63
Increased
110
Reduced
115
Closed
83

Top Buys

Rank Stock Value
1
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$789K
2
SCHV
Schwab US Large-Cap Value ETF
SCHV
+$341K
3
SCHG icon
Schwab US Large-Cap Growth ETF
SCHG
+$264K
4
SCHM icon
Schwab US Mid-Cap ETF
SCHM
+$198K
5
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$184K

Top Sells

Rank Stock Value
1
SCHE icon
Schwab Emerging Markets Equity ETF
SCHE
+$5.9M
2
MDYV icon
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
+$1.8M
3
MSFT icon
Microsoft
MSFT
+$1.09M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$701K
5
SCHF icon
Schwab International Equity ETF
SCHF
+$341K

Sector Composition

Rank Sector Weight
1 Technology 24.52%
2 Industrials 7.45%
3 Consumer Discretionary 5.22%
4 Healthcare 5.14%
5 Financials 2.65%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TGT icon
326
Target
TGT
$68B
$14K 0.01%
182
-400
-69% -$31.9K
VTR icon
327
Ventas
VTR
$47.9B
$14K 0.01%
+250
New +$16.4K
VWO icon
328
Vanguard FTSE Emerging Markets ETF
VWO
$124B
$14K 0.01%
423
-209
-33% -$7.59K
BBBY
329
DELISTED
Bed Bath & Beyond Inc
BBBY
$14K 0.01%
254
– –
BPL
330
DELISTED
Buckeye Partners, L.P.
BPL
– –
0
– –
AWK icon
331
American Water Works
AWK
$26.9B
$13K 0.01%
228
-777
-77% -$40.6K
BDX icon
332
Becton Dickinson
BDX
$48.2B
$13K 0.01%
101
– –
DBC icon
333
Invesco DB Commodity Index Tracking Fund
DBC
$1.66B
$13K 0.01%
891
+25
+3% +$393
MHF
334
Western Asset Municipal High Income Fund
MHF
$153M
$13K 0.01%
1,772
– –
NLY icon
335
Annaly Capital Management
NLY
$17.4B
$13K 0.01%
340
+3
+0.9% +$120
SU icon
336
Suncor Energy
SU
$70.3B
$13K 0.01%
485
+24
+5% +$644
UHS icon
337
Universal Health Services
UHS
$10.5B
$13K 0.01%
106
– –
CAJ
338
DELISTED
Canon, Inc.
CAJ
$13K 0.01%
436
– –
KSU
339
DELISTED
Kansas City Southern
KSU
$13K 0.01%
140
– –
CRAY
340
DELISTED
Cray, Inc.
CRAY
$13K 0.01%
640
– –
VXX
341
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
$13K 0.01%
31
– –
CAT icon
342
Caterpillar
CAT
$387B
$12K 0.01%
180
+13
+8% +$994
DBA icon
343
Invesco DB Agriculture Fund
DBA
$1.23B
$12K 0.01%
596
-100
-14% -$2.15K
EA
344
DELISTED
Electronic Arts
EA
$12K 0.01%
180
+60
+50% +$4.21K
FCX icon
345
Freeport-McMoran
FCX
$97.5B
$12K 0.01%
1,286
+501
+64% +$6.01K
FNV icon
346
Franco-Nevada
FNV
$46B
$12K 0.01%
266
– –
RY icon
347
Royal Bank of Canada
RY
$293B
$12K 0.01%
215
– –
WY icon
348
Weyerhaeuser
WY
$18.4B
$12K 0.01%
447
– –
SRCL
349
DELISTED
Stericycle Inc
SRCL
$12K 0.01%
84
-29
-26% -$4.04K
CYB
350
DELISTED
WisdomTree Chinese Yuan Strategy Fund
CYB
$12K 0.01%
487
– –
12 13
14
15 16

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Tradewinds Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Tradewinds Capital Management held 761 positions worth $128M, down 10% from $143M the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Tradewinds Capital Management withdrew a net $8.44M in Q3 2015, closing 83 positions and reducing 115 holdings. Its most notable exit was iShares S&P Mid-Cap 400 Value ETF, an estimated $65K position sold in full.

By sector, the portfolio is most concentrated in Technology at 25% of assets, up from 24% a quarter earlier, followed by Industrials and Consumer Discretionary.

Against the trend, Tradewinds Capital Management opened a new position in PayPal worth $113K.

  • Tradewinds Capital Management's largest Q3 2015 buy was PayPal: 3,630 shares worth $113K.
  • Tradewinds Capital Management added most to State Street SPDR S&P 600 Small Cap Value ETF in Q3 2015, an estimated $789K increase.
  • Tradewinds Capital Management's biggest Q3 2015 reduction was Schwab Emerging Markets Equity ETF, cutting an estimated $5.9M.
  • Tradewinds Capital Management fully exited iShares S&P Mid-Cap 400 Value ETF in Q3 2015, selling an estimated $65K.
  • Tradewinds Capital Management's ten largest holdings make up 43% of its $128M portfolio in Q3 2015.
  • Tradewinds Capital Management opened 63 new positions and closed 83 in Q3 2015.
  • Tradewinds Capital Management's portfolio value fell 10% quarter-over-quarter to $128M.

Based on Tradewinds Capital Management's 13F filing for Q3 2015, filed 2 Nov 2015.