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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
+6.67%
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
$319M
AUM Growth
+$66.5M
Cap. Flow
+$48.5M
Cap. Flow %
15.21%
Top 10 Hldgs %
60.16%
Holding
729
New
89
Increased
156
Reduced
66
Closed
28

Top Buys

Rank Stock Value
1
CORP icon
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund
CORP
+$19.3M
2
RSPD icon
Invesco S&P 500 Equal Weight Consumer Discretionary ETF
RSPD
+$14.7M
3
RSPN icon
Invesco S&P 500 Equal Weight Industrials ETF
RSPN
+$14.7M
4
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$14.7M
5
EWG icon
iShares MSCI Germany ETF
EWG
+$13.5M

Top Sells

Rank Stock Value
1
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$28.9M
2
EWA icon
iShares MSCI Australia ETF
EWA
+$14.6M
3
GXC icon
State Street SPDR S&P China ETF
GXC
+$14.2M
4
SCHA icon
Schwab U.S Small- Cap ETF
SCHA
+$14.1M
5
SPEU icon
State Street SPDR Portfolio Europe ETF
SPEU
+$4.09M

Sector Composition

Rank Sector Weight
1 Technology 18.65%
2 Industrials 4.35%
3 Consumer Discretionary 4.04%
4 Healthcare 2.06%
5 Financials 2.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IIM icon
451
Invesco Value Municipal Income Trust
IIM
$598M
$7K ﹤0.01%
480
+5
+1% +$77
IYM icon
452
iShares US Basic Materials ETF
IYM
$1.25B
$7K ﹤0.01%
67
– –
MHF
453
Western Asset Municipal High Income Fund
MHF
$153M
$7K ﹤0.01%
967
– –
MLPA icon
454
Global X MLP ETF
MLPA
$2.26B
$7K ﹤0.01%
138
-392
-74% -$18.3K
OXY icon
455
Occidental Petroleum
OXY
$55.9B
$7K ﹤0.01%
160
– –
PDP icon
456
Invesco Dorsey Wright Momentum ETF
PDP
$1.5B
$7K ﹤0.01%
+104
New +$6.46K
PJP icon
457
Invesco Pharmaceuticals ETF
PJP
$479M
$7K ﹤0.01%
107
– –
RIG icon
458
Transocean
RIG
$5.82B
$7K ﹤0.01%
965
– –
RMD icon
459
ResMed
RMD
$30.7B
$7K ﹤0.01%
43
– –
ECHO
460
EchoStar
ECHO
$26.2B
$7K ﹤0.01%
160
– –
SPDW icon
461
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$41.6B
$7K ﹤0.01%
+212
New +$6.46K
SPH icon
462
Suburban Propane Partners
SPH
$1.18B
$7K ﹤0.01%
300
– –
TEL icon
463
TE Connectivity
TEL
$62.6B
$7K ﹤0.01%
78
+28
+56% +$2.59K
TXRH icon
464
Texas Roadhouse
TXRH
$13.7B
$7K ﹤0.01%
127
– –
ROIC
465
DELISTED
Retail Opportunity Investments Corp.
ROIC
$7K ﹤0.01%
415
– –
HEP
466
DELISTED
Holly Energy Partners, L.P.
HEP
$7K ﹤0.01%
300
– –
KSU
467
DELISTED
Kansas City Southern
KSU
$7K ﹤0.01%
+48
New +$7.04K
AMTD
468
DELISTED
TD Ameritrade Holding Corp
AMTD
$7K ﹤0.01%
+150
New +$6.5K
AG icon
469
First Majestic Silver
AG
$9.07B
$6K ﹤0.01%
510
– –
AMD icon
470
Advanced Micro Devices
AMD
$789B
$6K ﹤0.01%
129
+60
+87% +$2.21K
AVAV icon
471
AeroVironment
AVAV
$9.45B
$6K ﹤0.01%
100
– –
BKR icon
472
Baker Hughes
BKR
$61.1B
$6K ﹤0.01%
225
+2
+0.9% +$45
BYND icon
473
Beyond Meat
BYND
$277M
$6K ﹤0.01%
74
+26
+54% +$2.41K
CNQ icon
474
Canadian Natural Resources
CNQ
$93.8B
$6K ﹤0.01%
408
– –
DXC icon
475
DXC Technology
DXC
$1.73B
$6K ﹤0.01%
171
– –
17 18
19
20 21

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Tradewinds Capital Management's Q4 2019 Portfolio in Review

As of Q4 2019, Tradewinds Capital Management held 729 positions worth $319M, up 26% from $252M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Tradewinds Capital Management deployed $48.5M of net new capital in Q4 2019, opening 89 new positions and adding to 156 existing holdings. Its largest new stake was PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund: 176,180 shares worth $19.4M.

By sector, the portfolio is most concentrated in Technology at 19% of assets, down from 22% a quarter earlier, followed by Industrials and Consumer Discretionary.

On the sell side, the largest reduction was State Street SPDR Bloomberg Convertible Securities ETF, an estimated $28.9M trimmed.

  • Tradewinds Capital Management's largest Q4 2019 buy was PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund: 176,180 shares worth $19.4M.
  • Tradewinds Capital Management added most to Schwab US Large- Cap ETF in Q4 2019, an estimated $14.7M increase.
  • Tradewinds Capital Management's biggest Q4 2019 reduction was State Street SPDR Bloomberg Convertible Securities ETF, cutting an estimated $28.9M.
  • Tradewinds Capital Management fully exited SPDR Solactive Germany ETF in Q4 2019, selling an estimated $1.38M.
  • Tradewinds Capital Management's ten largest holdings make up 60% of its $319M portfolio in Q4 2019.
  • Tradewinds Capital Management opened 89 new positions and closed 28 in Q4 2019.
  • Tradewinds Capital Management's portfolio value rose 26% quarter-over-quarter to $319M.

Based on Tradewinds Capital Management's 13F filing for Q4 2019, filed 4 Feb 2020.