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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
+4.26%
1 Year Est. Return
+41.52%
3 Year Est. Return
+85.22%
5 Year Est. Return
+87.07%
10 Year Est. Return
+307.75%
AUM
$131M
AUM Growth
+$9.32M
Cap. Flow
+$4.89M
Cap. Flow %
3.72%
Top 10 Hldgs %
45.72%
Holding
691
New
49
Increased
88
Reduced
100
Closed
61

Top Buys

Rank Stock Value
1
SCHH icon
Schwab US REIT ETF
SCHH
+$8.89M
2
SCHV
Schwab US Large-Cap Value ETF
SCHV
+$2.33M
3
NAC icon
Nuveen California Quality Municipal Income Fund
NAC
+$507K
4
FFIV icon
F5
FFIV
+$389K
5
NKX icon
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
+$274K

Top Sells

Rank Stock Value
1
SLYG icon
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
+$2.96M
2
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.37M
3
MSFT icon
Microsoft
MSFT
+$993K
4
SCHG icon
Schwab US Large-Cap Growth ETF
SCHG
+$556K
5
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$497K

Sector Composition

Rank Sector Weight
1 Technology 27.39%
2 Industrials 6.79%
3 Healthcare 5.04%
4 Consumer Discretionary 4.06%
5 Consumer Staples 2.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XLB icon
651
State Street Materials Select Sector SPDR ETF
XLB
$8.63B
– –
-112
Closed -$3K
XLF icon
652
State Street Financial Select Sector SPDR ETF
XLF
$58.6B
– –
-133
Closed -$3K
XLY icon
653
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$23B
– –
-78
Closed -$3K
XRX icon
654
Xerox
XRX
$412M
– –
-220
Closed -$7K
VIVS
655
VivoSim Labs
VIVS
$1.27M
– –
0
– –
AVTA
656
DELISTED
Avantax, Inc. Common Stock
AVTA
$0 ﹤0.01%
25
+10
+67% +$188
RDS.A
657
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
– –
-2,992
Closed -$204K
XONE
658
DELISTED
The ExOne Company
XONE
– –
-400
Closed -$14K
JCP
659
DELISTED
J.C. Penney Company, Inc.
JCP
– –
-400
Closed -$3K
AREX
660
DELISTED
Approach Resources Inc.
AREX
– –
-100
Closed -$2K
LVNTA
661
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$0 ﹤0.01%
8
– –
CIE
662
DELISTED
Cobalt International Energy, Inc
CIE
– –
-27
Closed -$7K
SBY
663
DELISTED
Silver Bay Realty Trust Corp.
SBY
– –
-19
Closed –
KZ
664
DELISTED
KongZhong Corporation
KZ
– –
-100
Closed -$1K
ARIA
665
DELISTED
Ariad Pharmaceuticals Inc
ARIA
– –
-400
Closed -$3K
EPIQ
666
DELISTED
EPIQ SYSTEMS INC
EPIQ
$0 ﹤0.01%
14
– –
FCS
667
DELISTED
FAIRCHILD SEMICONDUCTOR INTL INC COMMON
FCS
– –
-300
Closed -$4K
ENZN
668
DELISTED
ENZON PHARMACEUTICALS INC
ENZN
$0 ﹤0.01%
200
– –
BTU
669
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
– –
-13
Closed -$3K
NMA
670
DELISTED
NUVEEN MUNI ADVANTAGE FUND
NMA
– –
-1,715
Closed -$22K
SFG
671
DELISTED
STANCORP FINL GRP
SFG
– –
-748
Closed -$50K
OVTI
672
DELISTED
OMNIVISION TECHNOLOGIES INC
OVTI
– –
-100
Closed -$2K
CDE.WS
673
DELISTED
COEUR MINING, INC CORP IDAHO WT EXP 04/16/2017 DELWARE
CDE.WS
$0 ﹤0.01%
31
– –
SARA
674
DELISTED
SARATOGA RESOURCES INC
SARA
– –
-1,000
Closed -$1K
ELX
675
DELISTED
EMULEX CORP
ELX
– –
-200
Closed -$1K
24 25 26
27
28

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Tradewinds Capital Management's Q2 2014 Portfolio in Review

As of Q2 2014, Tradewinds Capital Management held 691 positions worth $131M, up 7.6% from $122M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

Tradewinds Capital Management deployed $4.89M of net new capital in Q2 2014, opening 49 new positions and adding to 88 existing holdings. Its largest new stake was Trinity Industries: 833 shares worth $26K.

By sector, the portfolio is most concentrated in Technology at 27% of assets, down from 29% a quarter earlier, followed by Industrials and Healthcare.

On the sell side, the largest reduction was State Street SPDR S&P 600 Small Cap Growth ETF, an estimated $2.96M trimmed.

  • Tradewinds Capital Management's largest Q2 2014 buy was Trinity Industries: 833 shares worth $26K.
  • Tradewinds Capital Management added most to Schwab US REIT ETF in Q2 2014, an estimated $8.89M increase.
  • Tradewinds Capital Management's biggest Q2 2014 reduction was State Street SPDR S&P 600 Small Cap Growth ETF, cutting an estimated $2.96M.
  • Tradewinds Capital Management fully exited NUVEEN CALIF INVT QUAL MUNI FD in Q2 2014, selling an estimated $342K.
  • Tradewinds Capital Management's ten largest holdings make up 46% of its $131M portfolio in Q2 2014.
  • Tradewinds Capital Management opened 49 new positions and closed 61 in Q2 2014.
  • Tradewinds Capital Management's portfolio value rose 7.6% quarter-over-quarter to $131M.

Based on Tradewinds Capital Management's 13F filing for Q2 2014, filed 14 Aug 2014.