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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
-13.25%
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
$203M
AUM Growth
-$57.5M
Cap. Flow
-$22.3M
Cap. Flow %
-10.95%
Top 10 Hldgs %
63.99%
Holding
723
New
58
Increased
84
Reduced
132
Closed
73

Top Buys

Rank Stock Value
1
RSPU icon
Invesco S&P 500 Equal Weight Utilities ETF
RSPU
+$12.3M
2
RSPG icon
Invesco S&P 500 Equal Weight Energy ETF
RSPG
+$12.3M
3
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$11.3M
4
SLYG icon
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
+$5.02M
5
BANR icon
Banner Corp
BANR
+$1.17M

Top Sells

Rank Stock Value
1
RSPH icon
Invesco S&P 500 Equal Weight Health Care ETF
RSPH
+$20.3M
2
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$12.6M
3
MLPA icon
Global X MLP ETF
MLPA
+$11.1M
4
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$7.94M
5
DYLS
WisdomTree Dynamic Long/Short U.S. Equity Fund
DYLS
+$4.13M

Sector Composition

Rank Sector Weight
1 Technology 21.49%
2 Industrials 5.7%
3 Consumer Discretionary 4.47%
4 Healthcare 2.69%
5 Financials 2.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DBD
701
DELISTED
Diebold Nixdorf Incorporated
DBD
$0 ﹤0.01%
129
– –
NVCN
702
DELISTED
Neovasc Inc.
NVCN
– –
0
– –
GPL
703
DELISTED
Great Panther Mining Limited
GPL
$0 ﹤0.01%
66
– –
BSCL
704
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
– –
-3,735
Closed -$77K
SQBG
705
DELISTED
Sequential Brands Group, Inc.
SQBG
– –
-3
Closed –
MNK
706
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
3
-27
-90% -$673
DYLS
707
DELISTED
WisdomTree Dynamic Long/Short U.S. Equity Fund
DYLS
– –
-116,623
Closed -$4.13M
INAP
708
DELISTED
Internap Corporation
INAP
$0 ﹤0.01%
10
– –
PEGI
709
DELISTED
Pattern Energy Group Inc. Class A
PEGI
$0 ﹤0.01%
22
+1
+5% +$19
HOS
710
DELISTED
Hornbeck Offshore Services, Inc.
HOS
– –
-250
Closed -$1K
PETX
711
DELISTED
Aratana Therapeutics, Inc.
PETX
– –
-500
Closed -$3K
BSCI
712
DELISTED
Invesco BulletShares 2018 Corporate Bond ETF
BSCI
– –
-6,035
Closed -$128K
EEP
713
DELISTED
Enbridge Energy Partners
EEP
– –
-364
Closed -$4K
ESRX
714
DELISTED
Express Scripts Holding Company
ESRX
– –
-12,148
Closed -$1.15M
CCT
715
DELISTED
Corporate Capital Trust, Inc.
CCT
– –
-1,000
Closed -$15K
AET
716
DELISTED
Aetna Inc
AET
– –
-82
Closed -$17K
SVU
717
DELISTED
SUPERVALU Inc.
SVU
– –
-1,428
Closed -$46K
ETP
718
DELISTED
Energy Transfer Partners, L.P.
ETP
– –
-101
Closed -$2K
TEUM
719
DELISTED
Pareteum Corporation
TEUM
$0 ﹤0.01%
150
– –
FTR
720
DELISTED
Frontier Communications Corp.
FTR
$0 ﹤0.01%
36
– –
CY
721
DELISTED
Cypress Semiconductor
CY
– –
-1,000
Closed -$14K
HMNY
722
DELISTED
Helios and Matheson Analytics Inc.
HMNY
$0 ﹤0.01%
1
– –
IMUC
723
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
– –
-200
Closed –
25 26 27 28
29

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AAS
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FGAM
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MCM
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Tradewinds Capital Management's Q4 2018 Portfolio in Review

As of Q4 2018, Tradewinds Capital Management held 723 positions worth $203M, down 22% from $261M the previous quarter. Its ten largest holdings account for 64% of the portfolio.

Tradewinds Capital Management withdrew a net $22.3M in Q4 2018, closing 73 positions and reducing 132 holdings. Its most notable exit was WisdomTree Dynamic Long/Short U.S. Equity Fund, an estimated $4.13M position sold in full.

By sector, the portfolio is most concentrated in Technology at 21% of assets, up from 20% a quarter earlier, followed by Industrials and Consumer Discretionary.

Against the trend, Tradewinds Capital Management opened a new position in Invesco S&P 500 Equal Weight Energy ETF worth $10.1M.

  • Tradewinds Capital Management's largest Q4 2018 buy was Invesco S&P 500 Equal Weight Energy ETF: 233,430 shares worth $10.1M.
  • Tradewinds Capital Management added most to Invesco S&P 500 Equal Weight Utilities ETF in Q4 2018, an estimated $12.3M increase.
  • Tradewinds Capital Management's biggest Q4 2018 reduction was Invesco S&P 500 Equal Weight Health Care ETF, cutting an estimated $20.3M.
  • Tradewinds Capital Management fully exited WisdomTree Dynamic Long/Short U.S. Equity Fund in Q4 2018, selling an estimated $4.13M.
  • Tradewinds Capital Management's ten largest holdings make up 64% of its $203M portfolio in Q4 2018.
  • Tradewinds Capital Management opened 58 new positions and closed 73 in Q4 2018.
  • Tradewinds Capital Management's portfolio value fell 22% quarter-over-quarter to $203M.

Based on Tradewinds Capital Management's 13F filing for Q4 2018, filed 31 Jan 2019.