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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
ENZN
726
DELISTED
ENZON PHARMACEUTICALS INC
ENZN
– –
-200
Closed –
SSE
727
DELISTED
SEVENTY SEVEN ENERGY INC COM
SSE
– –
-6
Closed –
STRZA
728
DELISTED
Starz - Series A
STRZA
$0 ﹤0.01%
14
– –
EOX
729
DELISTED
EMERALD OIL INC (MT)
EOX
– –
-2,082
Closed –
IIP
730
DELISTED
INTERNAP NETWORK SERVICES CORPORATION
IIP
$0 ﹤0.01%
165
– –
BBF
731
DELISTED
BlackRock Municipal Income Investment Trust
BBF
– –
-646
Closed -$10K
AST
732
DELISTED
Asterias Biotherapeutics Inc. Series A
AST
$0 ﹤0.01%
2
– –
ARLZ
733
DELISTED
Aralez Pharmaceuticals Inc.
ARLZ
$0 ﹤0.01%
6
-1,700
-100% -$7.75K
NPF
734
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
– –
-12,281
Closed -$185K
NQS
735
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
– –
-13,771
Closed -$214K
NMO
736
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
– –
-900
Closed -$14K
KKD
737
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
– –
-45
Closed -$1K
LNCO
738
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
– –
-750
Closed –
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.