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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
XLP icon
601
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.9B
$1K ﹤0.01%
14
-105
-88% -$5.1K
XOMA
602
DELISTED
Xoma
XOMA
$1K ﹤0.01%
50
– –
XRT icon
603
State Street SPDR S&P Retail ETF
XRT
$327M
$1K ﹤0.01%
+24
New +$1.15K
XYL icon
604
Xylem
XYL
$28.1B
$1K ﹤0.01%
32
– –
GAP
605
The Gap Inc
GAP
$7.37B
$1K ﹤0.01%
46
– –
MRO
606
DELISTED
Marathon Oil Corporation
MRO
$1K ﹤0.01%
90
– –
LL
607
DELISTED
LL Flooring Holdings, Inc.
LL
$1K ﹤0.01%
87
– –
BPTH
608
DELISTED
Bio-Path Holdings Inc
BPTH
– –
0
– –
ABMD
609
DELISTED
Abiomed Inc
ABMD
$1K ﹤0.01%
14
– –
MMAC
610
DELISTED
MMA Capital Holdings, Inc. Common Stock
MMAC
$1K ﹤0.01%
40
– –
GLOG
611
DELISTED
GASLOG LTD
GLOG
$1K ﹤0.01%
67
+1
+2% +$14
DNR
612
DELISTED
Denbury Resources, Inc.
DNR
$1K ﹤0.01%
+400
New +$1.55K
LM
613
DELISTED
Legg Mason, Inc.
LM
$1K ﹤0.01%
20
– –
CHK
614
DELISTED
Chesapeake Energy Corporation
CHK
– –
0
– –
STI
615
DELISTED
SunTrust Banks, Inc.
STI
$1K ﹤0.01%
33
– –
ZF
616
DELISTED
Virtus Total Return Fund Inc.
ZF
$1K ﹤0.01%
102
– –
LVNTA
617
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$1K ﹤0.01%
34
– –
TIME
618
DELISTED
Time Inc.
TIME
$1K ﹤0.01%
68
+3
+5% +$63
ATW
619
DELISTED
Atwood Oceanics
ATW
$1K ﹤0.01%
72
– –
GM.WS.A
620
DELISTED
GENERAL MOTORS COMPANY WARRANT (EXPIRES 07/10/2016)
GM.WS.A
$1K ﹤0.01%
+35
New +$736
RBY
621
DELISTED
RUBICON MENERALS CORP (F)
RBY
$1K ﹤0.01%
1,250
– –
MSO
622
DELISTED
MARTHA STEWART LIVING OMNIMEDIA INC
MSO
$1K ﹤0.01%
146
– –
SVLC
623
DELISTED
SILVERCREST MINES INC ORD SHS (CDA)
SVLC
$1K ﹤0.01%
1,400
-100
-7% -$89
STRZA
624
DELISTED
Starz - Series A
STRZA
$1K ﹤0.01%
14
– –
ESV
625
DELISTED
Ensco Rowan plc
ESV
$1K ﹤0.01%
25
– –
23 24
25
26 27

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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.