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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
+6.88%
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
$502M
AUM Growth
+$40.2M
Cap. Flow
+$19.8M
Cap. Flow %
3.94%
Top 10 Hldgs %
58.43%
Holding
811
New
97
Increased
132
Reduced
114
Closed
37

Top Buys

Rank Stock Value
1
PSK icon
State Street SPDR ICE Preferred Securities ETF
PSK
+$24M
2
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$23.4M
3
SLYG icon
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
+$22.6M
4
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$22.2M
5
JJE
iPath Series B Bloomberg Energy Subindex Total ReturnSM ETN
JJE
+$21.4M

Top Sells

Rank Stock Value
1
EWY icon
iShares MSCI South Korea ETF
EWY
+$22M
2
EWG icon
iShares MSCI Germany ETF
EWG
+$21.4M
3
SCHC icon
Schwab International Small-Cap Equity ETF
SCHC
+$21.3M
4
INDA icon
iShares MSCI India ETF
INDA
+$21.2M
5
SCHE icon
Schwab Emerging Markets Equity ETF
SCHE
+$20.7M

Sector Composition

Rank Sector Weight
1 Technology 16.07%
2 Consumer Discretionary 3.57%
3 Industrials 2.82%
4 Healthcare 1.56%
5 Financials 1.39%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RKLB icon
776
Rocket Lab Corp
RKLB
$51.8B
$0 ﹤0.01%
+40
New +$443
SGMO
777
DELISTED
SANGAMO THERAPEUTICS INC
SGMO
$0 ﹤0.01%
+10
New +$135
SNAP icon
778
Snap
SNAP
$9.01B
$0 ﹤0.01%
+1
New +$57
SNPS icon
779
Synopsys
SNPS
$79.7B
– –
-25
Closed -$6K
SONY icon
780
Sony
SONY
$138B
$0 ﹤0.01%
15
– –
SPDW icon
781
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$41.7B
– –
-279
Closed -$9K
SPEM icon
782
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.7B
– –
-49
Closed -$2K
SPMD icon
783
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.9B
$0 ﹤0.01%
+9
New +$395
TCRT icon
784
Alaunos Therapeutics
TCRT
$4.86M
– –
0
– –
TECS icon
785
Direxion Daily Technology Bear 3x ETF
TECS
$61.7M
– –
0
– –
TREX icon
786
Trex
TREX
$5.01B
– –
-50
Closed -$4K
U icon
787
Unity
U
$18.9B
– –
-35
Closed -$5K
VEEV icon
788
Veeva Systems
VEEV
$37.4B
– –
-19
Closed -$5K
VIAV icon
789
Viavi Solutions
VIAV
$9.66B
$0 ﹤0.01%
1
– –
VIGI icon
790
Vanguard International Dividend Appreciation ETF
VIGI
$9.31B
$0 ﹤0.01%
+6
New +$500
VONE icon
791
Vanguard Russell 1000 ETF
VONE
$8.68B
$0 ﹤0.01%
+2
New +$362
VSS icon
792
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.9B
$0 ﹤0.01%
+2
New +$253
VVX icon
793
V2X
VVX
$2.65B
$0 ﹤0.01%
1
– –
ZUMZ icon
794
Zumiez
ZUMZ
$339M
– –
-300
Closed -$11K
SMAR
795
DELISTED
Smartsheet Inc.
SMAR
$0 ﹤0.01%
6
– –
SPWR
796
DELISTED
SunPower Corporation Common Stock
SPWR
– –
-1,100
Closed -$28K
SPLK
797
DELISTED
Splunk Inc
SPLK
– –
-25
Closed -$4K
NEPT
798
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
– –
0
– –
MARK
799
DELISTED
Remark Holdings, Inc.
MARK
$0 ﹤0.01%
5
– –
MPLN.WS
800
DELISTED
MultiPlan Corporation Warrants, each exercisable for one share of Class A common stock at an exercise price of $11.50 per share
MPLN.WS
– –
-300
Closed –
29 30 31
32
33

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Tradewinds Capital Management's Q1 2021 Portfolio in Review

As of Q1 2021, Tradewinds Capital Management held 811 positions worth $502M, up 8.7% from $462M the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Tradewinds Capital Management deployed $19.8M of net new capital in Q1 2021, opening 97 new positions and adding to 132 existing holdings. Its largest new stake was State Street SPDR ICE Preferred Securities ETF: 557,000 shares worth $24.2M.

By sector, the portfolio is most concentrated in Technology at 16% of assets, down from 17% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was iShares MSCI South Korea ETF, an estimated $22M trimmed.

  • Tradewinds Capital Management's largest Q1 2021 buy was State Street SPDR ICE Preferred Securities ETF: 557,000 shares worth $24.2M.
  • Tradewinds Capital Management added most to State Street SPDR S&P 600 Small Cap Value ETF in Q1 2021, an estimated $23.4M increase.
  • Tradewinds Capital Management's biggest Q1 2021 reduction was iShares MSCI South Korea ETF, cutting an estimated $22M.
  • Tradewinds Capital Management fully exited Otelco, Inc. Class A in Q1 2021, selling an estimated $265K.
  • Tradewinds Capital Management's ten largest holdings make up 58% of its $502M portfolio in Q1 2021.
  • Tradewinds Capital Management opened 97 new positions and closed 37 in Q1 2021.
  • Tradewinds Capital Management's portfolio value rose 8.7% quarter-over-quarter to $502M.

Based on Tradewinds Capital Management's 13F filing for Q1 2021, filed 23 Apr 2021.