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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
+4.08%
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
$143M
AUM Growth
+$3.06M
Cap. Flow
-$1.07M
Cap. Flow %
-0.75%
Top 10 Hldgs %
47.3%
Holding
738
New
90
Increased
138
Reduced
68
Closed
44

Top Buys

Rank Stock Value
1
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$1.84M
2
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$1.44M
3
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$675K
4
SLYG icon
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
+$606K
5
NZF icon
Nuveen Municipal Credit Income Fund
NZF
+$487K

Top Sells

Rank Stock Value
1
MSFT icon
Microsoft
MSFT
+$1.15M
2
NQM
NUVEEN INVESTMENT QLTY MUNI FD
NQM
+$1.02M
3
NPI
NUVEEN PREMIUN INC MUN FUND
NPI
+$967K
4
SCHV
Schwab US Large-Cap Value ETF
SCHV
+$914K
5
MUE
BlackRock MuniHoldings Quality Fund II
MUE
+$867K

Sector Composition

Rank Sector Weight
1 Technology 23%
2 Industrials 7.19%
3 Consumer Discretionary 5.25%
4 Healthcare 5%
5 Consumer Staples 2.8%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SRCL
701
DELISTED
Stericycle Inc
SRCL
– –
-42
Closed -$4K
MRNS
702
DELISTED
Marinus Pharmaceuticals, Inc
MRNS
– –
-1,500
Closed -$8K
VRTV
703
DELISTED
VERITIV CORPORATION
VRTV
$0 ﹤0.01%
4
– –
AVTA
704
DELISTED
Avantax, Inc. Common Stock
AVTA
$0 ﹤0.01%
10
– –
FCRD
705
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
– –
-500
Closed -$6K
GSV
706
DELISTED
Gold Standard Ventures Corp.
GSV
– –
-2,000
Closed -$4K
NUAN
707
DELISTED
Nuance Communications, Inc.
NUAN
$0 ﹤0.01%
12
– –
RDS.B
708
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
– –
-33
Closed -$2K
ZIXI
709
DELISTED
Zix Corporation
ZIXI
$0 ﹤0.01%
75
– –
APU
710
DELISTED
AmeriGas Partners, L.P.
APU
– –
-250
Closed -$12K
GM.WS.B
711
DELISTED
General Motors Company
GM.WS.B
$0 ﹤0.01%
35
– –
NLST
712
DELISTED
Netlist, Inc.
NLST
$0 ﹤0.01%
+300
New +$449
MBVX
713
DELISTED
MABVAX THERAPEUTICS HLDGS INC
MBVX
$0 ﹤0.01%
+36
New +$542
CHUBA
714
DELISTED
CommerceHub, Inc. Series A Common Stock
CHUBA
$0 ﹤0.01%
+1
New +$14
CHUBK
715
DELISTED
CommerceHub, Inc. Series C Common Stock
CHUBK
$0 ﹤0.01%
+2
New +$28
LVNTA
716
DELISTED
Liberty Interactive Corporation Series A Liberty Ventures
LVNTA
$0 ﹤0.01%
11
– –
QLTI
717
DELISTED
QLT Inc
QLTI
$0 ﹤0.01%
50
– –
NVX
718
DELISTED
Nuveen Calif Div Muni
NVX
– –
-12,000
Closed -$200K
EPIQ
719
DELISTED
EPIQ SYSTEMS INC
EPIQ
$0 ﹤0.01%
5
-151
-97% -$2.41K
NQM
720
DELISTED
NUVEEN INVESTMENT QLTY MUNI FD
NQM
– –
-60,798
Closed -$1.02M
NPM
721
DELISTED
NUVEEN PREMIUM INCM MUNI FD II
NPM
– –
-45,705
Closed -$708K
NPI
722
DELISTED
NUVEEN PREMIUN INC MUN FUND
NPI
– –
-62,702
Closed -$967K
NPP
723
DELISTED
NUVEEN PERFORMANCE+MUN FUND
NPP
– –
-45,483
Closed -$751K
EMC
724
DELISTED
EMC CORPORATION
EMC
– –
-14,426
Closed -$392K
CRC
725
DELISTED
California Resources Corporation
CRC
$0 ﹤0.01%
1
– –
26 27 28
29
30

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Tradewinds Capital Management's Q3 2016 Portfolio in Review

As of Q3 2016, Tradewinds Capital Management held 738 positions worth $143M, up 2.2% from $140M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Tradewinds Capital Management's Q3 2016 filing shows 90 new, 138 increased, 68 reduced and 44 closed positions. Its largest new stake was Nuveen Municipal Credit Income Fund: 30,672 shares worth $483K. The largest sale was Microsoft, an estimated $1.15M.

By sector, the portfolio is most concentrated in Technology at 23% of assets, up from 22% a quarter earlier, followed by Industrials and Consumer Discretionary.

  • Tradewinds Capital Management's largest Q3 2016 buy was Nuveen Municipal Credit Income Fund: 30,672 shares worth $483K.
  • Tradewinds Capital Management added most to Nuveen Quality Municipal Income Fund in Q3 2016, an estimated $1.84M increase.
  • Tradewinds Capital Management's biggest Q3 2016 reduction was Microsoft, cutting an estimated $1.15M.
  • Tradewinds Capital Management fully exited NUVEEN INVESTMENT QLTY MUNI FD in Q3 2016, selling an estimated $1.02M.
  • Tradewinds Capital Management's ten largest holdings make up 47% of its $143M portfolio in Q3 2016.
  • Tradewinds Capital Management opened 90 new positions and closed 44 in Q3 2016.
  • Tradewinds Capital Management's portfolio value rose 2.2% quarter-over-quarter to $143M.

Based on Tradewinds Capital Management's 13F filing for Q3 2016, filed 7 Nov 2016.