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TCM

Tradewinds Capital Management Portfolio holdings

AUM $563M
1-Year Est. Return 41.52%
This Fund
S&P 500
This Quarter Est. Return
+4.86%
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
$245M
AUM Growth
-$27.9M
Cap. Flow
-$38.3M
Cap. Flow %
-15.63%
Top 10 Hldgs %
64.76%
Holding
654
New
34
Increased
75
Reduced
93
Closed
36

Top Buys

Rank Stock Value
1
EWA icon
iShares MSCI Australia ETF
EWA
+$14.3M
2
SPEU icon
State Street SPDR Portfolio Europe ETF
SPEU
+$14.2M
3
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$13.6M
4
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$13M
5
RSPU icon
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
+$7.83M

Top Sells

Rank Stock Value
1
SCHR
Schwab Intermediately-Term US Treasury ETF
SCHR
+$28.8M
2
RWO icon
State Street SPDR Dow Jones Global Real Estate ETF
RWO
+$13.1M
3
RSPH icon
Invesco S&P 500 Equal Weight Health Care ETF
RSPH
+$12.8M
4
RSPD icon
Invesco S&P 500 Equal Weight Consumer Discretionary ETF
RSPD
+$12.7M
5
SGOL icon
abrdn Physical Gold Shares ETF
SGOL
+$11.7M

Sector Composition

Rank Sector Weight
1 Technology 22.1%
2 Industrials 5.46%
3 Consumer Discretionary 4.33%
4 Financials 2.33%
5 Healthcare 2.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NAK
626
Northern Dynasty Minerals
NAK
$936M
$0 ﹤0.01%
600
– –
NGD
627
DELISTED
New Gold Inc
NGD
$0 ﹤0.01%
126
– –
NKTR icon
628
Nektar Therapeutics
NKTR
$2.5B
– –
0
– –
OGI
629
Organigram Holdings
OGI
$139M
$0 ﹤0.01%
+2
New +$56
PLUG icon
630
Plug Power
PLUG
$3.03B
$0 ﹤0.01%
80
– –
PMM
631
Franklin Managed Municipal Income Trust
PMM
$273M
– –
-50,000
Closed -$374K
QCLN icon
632
First Trust NASDAQ Clean Edge Green Energy Index Fund
QCLN
$634M
$0 ﹤0.01%
+15
New +$308
RSPF icon
633
Invesco S&P 500 Equal Weight Financials ETF
RSPF
$311M
– –
-177
Closed -$7K
SKYY icon
634
First Trust Cloud Computing ETF
SKYY
$3.12B
$0 ﹤0.01%
+8
New +$470
SLYG icon
635
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
$5.21B
– –
-118
Closed -$7K
SSO icon
636
ProShares Ultra S&P500
SSO
$8.34B
– –
-240
Closed -$4K
STE icon
637
Steris
STE
$23B
$0 ﹤0.01%
3
– –
TLSA icon
638
Tiziana Life Sciences
TLSA
$123M
$0 ﹤0.01%
100
– –
TQQQ icon
639
ProShares UltraPro QQQ
TQQQ
$37.6B
– –
-280
Closed -$2K
VGM icon
640
Invesco Trust Investment Grade Municipals
VGM
$566M
– –
-115,910
Closed -$1.44M
VVX icon
641
V2X
VVX
$2.63B
$0 ﹤0.01%
1
– –
TBCH
642
Turtle Beach Corp
TBCH
$278M
$0 ﹤0.01%
20
– –
RAD
643
DELISTED
Rite Aid Corporation
RAD
$0 ﹤0.01%
25
– –
NVCN
644
DELISTED
Neovasc Inc.
NVCN
– –
0
– –
NBEV
645
DELISTED
NewAge, Inc. Common Stock (Delaware)
NBEV
$0 ﹤0.01%
+100
New +$512
WORK
646
DELISTED
Slack Technologies, Inc.
WORK
$0 ﹤0.01%
+12
New +$442
BAF
647
DELISTED
BLACKROCK MUNICIPAL INCOME INVESTMENT QUALITY TRUST
BAF
– –
-5,000
Closed -$70K
MUH
648
DELISTED
Blackrock Muniholdings Fund II, Inc.
MUH
– –
-4,530
Closed -$67K
MNK
649
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
3
– –
BPL
650
DELISTED
Buckeye Partners, L.P.
BPL
– –
-232
Closed -$8K
23 24 25
26
27

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Tradewinds Capital Management's Q2 2019 Portfolio in Review

As of Q2 2019, Tradewinds Capital Management held 654 positions worth $245M, down 10% from $273M the previous quarter. Its ten largest holdings account for 65% of the portfolio.

Tradewinds Capital Management withdrew a net $38.3M in Q2 2019, closing 36 positions and reducing 93 holdings. Its most notable exit was Invesco Trust Investment Grade Municipals, an estimated $1.44M position sold in full.

By sector, the portfolio is most concentrated in Technology at 22% of assets, up from 18% a quarter earlier, followed by Industrials and Consumer Discretionary.

Against the trend, Tradewinds Capital Management opened a new position in iShares MSCI Australia ETF worth $14.8M.

  • Tradewinds Capital Management's largest Q2 2019 buy was iShares MSCI Australia ETF: 654,891 shares worth $14.8M.
  • Tradewinds Capital Management added most to Schwab US Large- Cap ETF in Q2 2019, an estimated $13.6M increase.
  • Tradewinds Capital Management's biggest Q2 2019 reduction was Schwab Intermediately-Term US Treasury ETF, cutting an estimated $28.8M.
  • Tradewinds Capital Management fully exited Invesco Trust Investment Grade Municipals in Q2 2019, selling an estimated $1.44M.
  • Tradewinds Capital Management's ten largest holdings make up 65% of its $245M portfolio in Q2 2019.
  • Tradewinds Capital Management opened 34 new positions and closed 36 in Q2 2019.
  • Tradewinds Capital Management's portfolio value fell 10% quarter-over-quarter to $245M.

Based on Tradewinds Capital Management's 13F filing for Q2 2019, filed 8 Aug 2019.