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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
+6.67%
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
$319M
AUM Growth
+$66.5M
Cap. Flow
+$48.5M
Cap. Flow %
15.21%
Top 10 Hldgs %
60.16%
Holding
729
New
89
Increased
156
Reduced
66
Closed
28

Top Buys

Rank Stock Value
1
CORP icon
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund
CORP
+$19.3M
2
RSPD icon
Invesco S&P 500 Equal Weight Consumer Discretionary ETF
RSPD
+$14.7M
3
RSPN icon
Invesco S&P 500 Equal Weight Industrials ETF
RSPN
+$14.7M
4
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$14.7M
5
EWG icon
iShares MSCI Germany ETF
EWG
+$13.5M

Top Sells

Rank Stock Value
1
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$28.9M
2
EWA icon
iShares MSCI Australia ETF
EWA
+$14.6M
3
GXC icon
State Street SPDR S&P China ETF
GXC
+$14.2M
4
SCHA icon
Schwab U.S Small- Cap ETF
SCHA
+$14.1M
5
SPEU icon
State Street SPDR Portfolio Europe ETF
SPEU
+$4.09M

Sector Composition

Rank Sector Weight
1 Technology 18.65%
2 Industrials 4.35%
3 Consumer Discretionary 4.04%
4 Healthcare 2.06%
5 Financials 2.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
STE icon
701
Steris
STE
$23.1B
$0 ﹤0.01%
3
– –
TFC icon
702
Truist Financial
TFC
$64B
– –
-215
Closed -$11K
TLH icon
703
iShares 10-20 Year Treasury Bond ETF
TLH
$10.9B
– –
-648
Closed -$97K
TLSA icon
704
Tiziana Life Sciences
TLSA
$127M
$0 ﹤0.01%
100
– –
TNDM icon
705
Tandem Diabetes Care
TNDM
$1.56B
$0 ﹤0.01%
+3
New +$185
TPL icon
706
Texas Pacific Land
TPL
$23.5B
– –
-450
Closed -$32K
UEC icon
707
Uranium Energy
UEC
$5.57B
$0 ﹤0.01%
440
– –
UGI icon
708
UGI
UGI
$7.33B
– –
-318
Closed -$16K
VEEV icon
709
Veeva Systems
VEEV
$37.4B
– –
-15
Closed -$2K
VHC icon
710
VirnetX Holding Corp
VHC
$63.1M
$0 ﹤0.01%
5
– –
VVX icon
711
V2X
VVX
$2.65B
$0 ﹤0.01%
1
– –
XPP icon
712
ProShares Ultra FTSE China 50 of PROSHARES TRUST
XPP
$8.93M
– –
-50
Closed -$3K
CPAY icon
713
Corpay
CPAY
$25.7B
– –
-100
Closed -$29K
TBCH
714
Turtle Beach Corp
TBCH
$277M
– –
-20
Closed –
NVTA
715
DELISTED
Invitae Corporation
NVTA
$0 ﹤0.01%
10
– –
RAD
716
DELISTED
Rite Aid Corporation
RAD
$0 ﹤0.01%
25
– –
HEXO
717
DELISTED
HEXO Corp. Common Shares
HEXO
$0 ﹤0.01%
5
+2
+67% +$263
TWTR
718
DELISTED
Twitter, Inc.
TWTR
– –
-1,045
Closed -$43K
GPL
719
DELISTED
Great Panther Mining Limited
GPL
$0 ﹤0.01%
66
– –
PVG
720
DELISTED
PRETIUM RESOURCES INC.
PVG
– –
-250
Closed -$3K
WORK
721
DELISTED
Slack Technologies, Inc.
WORK
$0 ﹤0.01%
12
– –
ZDEU
722
DELISTED
SPDR Solactive Germany ETF
ZDEU
– –
-25,173
Closed -$1.38M
HDS
723
DELISTED
HD Supply Holdings, Inc.
HDS
– –
-50
Closed -$2K
MNK
724
DELISTED
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
$0 ﹤0.01%
6
+3
+100% +$9
BSCJ
725
DELISTED
Invesco BulletShares 2019 Corporate Bond ETF
BSCJ
– –
-6,944
Closed -$146K
26 27 28
29
30

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MCM
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Tradewinds Capital Management's Q4 2019 Portfolio in Review

As of Q4 2019, Tradewinds Capital Management held 729 positions worth $319M, up 26% from $252M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Tradewinds Capital Management deployed $48.5M of net new capital in Q4 2019, opening 89 new positions and adding to 156 existing holdings. Its largest new stake was PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund: 176,180 shares worth $19.4M.

By sector, the portfolio is most concentrated in Technology at 19% of assets, down from 22% a quarter earlier, followed by Industrials and Consumer Discretionary.

On the sell side, the largest reduction was State Street SPDR Bloomberg Convertible Securities ETF, an estimated $28.9M trimmed.

  • Tradewinds Capital Management's largest Q4 2019 buy was PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund: 176,180 shares worth $19.4M.
  • Tradewinds Capital Management added most to Schwab US Large- Cap ETF in Q4 2019, an estimated $14.7M increase.
  • Tradewinds Capital Management's biggest Q4 2019 reduction was State Street SPDR Bloomberg Convertible Securities ETF, cutting an estimated $28.9M.
  • Tradewinds Capital Management fully exited SPDR Solactive Germany ETF in Q4 2019, selling an estimated $1.38M.
  • Tradewinds Capital Management's ten largest holdings make up 60% of its $319M portfolio in Q4 2019.
  • Tradewinds Capital Management opened 89 new positions and closed 28 in Q4 2019.
  • Tradewinds Capital Management's portfolio value rose 26% quarter-over-quarter to $319M.

Based on Tradewinds Capital Management's 13F filing for Q4 2019, filed 4 Feb 2020.