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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
+0.96%
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
$252M
AUM Growth
+$7.38M
Cap. Flow
+$5.26M
Cap. Flow %
2.09%
Top 10 Hldgs %
67.32%
Holding
672
New
55
Increased
127
Reduced
53
Closed
31

Top Buys

Rank Stock Value
1
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$14.7M
2
SCHA icon
Schwab U.S Small- Cap ETF
SCHA
+$14.2M
3
GXC icon
State Street SPDR S&P China ETF
GXC
+$13.8M
4
SGOL icon
abrdn Physical Gold Shares ETF
SGOL
+$3.91M
5
SPTL icon
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
+$3.57M

Top Sells

Rank Stock Value
1
RSPU icon
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
+$17M
2
SPEU icon
State Street SPDR Portfolio Europe ETF
SPEU
+$9.99M
3
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$5.66M
4
SCHH icon
Schwab US REIT ETF
SCHH
+$5.22M
5
EWP icon
iShares MSCI Spain ETF
EWP
+$3.88M

Sector Composition

Rank Sector Weight
1 Technology 21.52%
2 Industrials 5.39%
3 Consumer Discretionary 4.66%
4 Financials 2.32%
5 Consumer Staples 2.15%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
KBA icon
626
KraneShares Bosera MSCI China A 50 Connect Index ETF
KBA
$150M
– –
-150
Closed -$5K
KEYS icon
627
Keysight
KEYS
$58.3B
$0 ﹤0.01%
1
– –
KTB icon
628
Kontoor Brands
KTB
$4.26B
$0 ﹤0.01%
9
– –
LABU icon
629
Direxion Daily S&P Biotech Bull 3X ETF
LABU
$603M
– –
-2
Closed -$2K
LEN.B icon
630
Lennar Class B
LEN.B
$20.8B
$0 ﹤0.01%
2
– –
LEVI icon
631
Levi Strauss
LEVI
$9.39B
– –
-251
Closed -$5K
MAT icon
632
Mattel
MAT
$4.23B
$0 ﹤0.01%
+10
New +$114
MJ icon
633
Amplify Alternative Harvest ETF
MJ
$105M
$0 ﹤0.01%
2
– –
MTSI icon
634
MACOM Technology Solutions
MTSI
$23.7B
$0 ﹤0.01%
18
– –
NAK
635
Northern Dynasty Minerals
NAK
$958M
$0 ﹤0.01%
600
– –
NGD
636
DELISTED
New Gold Inc
NGD
$0 ﹤0.01%
126
– –
NKTR icon
637
Nektar Therapeutics
NKTR
$2.58B
– –
0
– –
OGI
638
Organigram Holdings
OGI
$139M
$0 ﹤0.01%
2
– –
PLUG icon
639
Plug Power
PLUG
$3.04B
$0 ﹤0.01%
80
– –
BCIC
640
BCP Investment Corp
BCIC
$92.9M
– –
-56
Closed -$1K
QCLN icon
641
First Trust NASDAQ Clean Edge Green Energy Index Fund
QCLN
$634M
$0 ﹤0.01%
15
– –
RSPD icon
642
Invesco S&P 500 Equal Weight Consumer Discretionary ETF
RSPD
$337M
– –
-243
Closed -$8K
RSPH icon
643
Invesco S&P 500 Equal Weight Health Care ETF
RSPH
$784M
– –
-410
Closed -$8K
SBIO icon
644
ALPS Medical Breakthroughs ETF
SBIO
$215M
– –
-35
Closed -$1K
SCHR
645
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
– –
-604
Closed -$17K
SKYY icon
646
First Trust Cloud Computing ETF
SKYY
$3.12B
$0 ﹤0.01%
8
– –
SPB icon
647
Spectrum Brands
SPB
$2.07B
$0 ﹤0.01%
+14
New +$730
STE icon
648
Steris
STE
$23.1B
$0 ﹤0.01%
3
– –
TLSA icon
649
Tiziana Life Sciences
TLSA
$127M
$0 ﹤0.01%
100
– –
UEC icon
650
Uranium Energy
UEC
$5.57B
$0 ﹤0.01%
440
– –
23 24 25
26
27

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Tradewinds Capital Management's Q3 2019 Portfolio in Review

As of Q3 2019, Tradewinds Capital Management held 672 positions worth $252M, up 3% from $245M the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Tradewinds Capital Management's Q3 2019 filing shows 55 new, 127 increased, 53 reduced and 31 closed positions. Its largest new stake was State Street SPDR S&P China ETF: 149,064 shares worth $13.5M. The largest sale was Invesco S&P 500 Equal Weight Utilities ETF, an estimated $17M.

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

  • Tradewinds Capital Management's largest Q3 2019 buy was State Street SPDR S&P China ETF: 149,064 shares worth $13.5M.
  • Tradewinds Capital Management added most to State Street SPDR Bloomberg Convertible Securities ETF in Q3 2019, an estimated $14.7M increase.
  • Tradewinds Capital Management's biggest Q3 2019 reduction was Invesco S&P 500 Equal Weight Utilities ETF, cutting an estimated $17M.
  • Tradewinds Capital Management fully exited Chipotle Mexican Grill in Q3 2019, selling an estimated $147K.
  • Tradewinds Capital Management's ten largest holdings make up 67% of its $252M portfolio in Q3 2019.
  • Tradewinds Capital Management opened 55 new positions and closed 31 in Q3 2019.
  • Tradewinds Capital Management's portfolio value rose 3% quarter-over-quarter to $252M.

Based on Tradewinds Capital Management's 13F filing for Q3 2019, filed 17 Oct 2019.