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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
-1.21%
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
$589M
AUM Growth
+$43M
Cap. Flow
+$53.4M
Cap. Flow %
9.07%
Top 10 Hldgs %
58.32%
Holding
833
New
28
Increased
136
Reduced
106
Closed
45

Top Buys

Rank Stock Value
1
SCHH icon
Schwab US REIT ETF
SCHH
+$34.4M
2
SCHR
Schwab Intermediately-Term US Treasury ETF
SCHR
+$28.3M
3
SPTL icon
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
+$27.9M
4
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$26.4M
5
RWO icon
State Street SPDR Dow Jones Global Real Estate ETF
RWO
+$26.2M

Top Sells

Rank Stock Value
1
SCHC icon
Schwab International Small-Cap Equity ETF
SCHC
+$26.2M
2
SPYV icon
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
+$25.7M
3
EWA icon
iShares MSCI Australia ETF
EWA
+$25.2M
4
EWY icon
iShares MSCI South Korea ETF
EWY
+$24.3M
5
SCHM icon
Schwab US Mid-Cap ETF
SCHM
+$18.6M

Sector Composition

Rank Sector Weight
1 Technology 16%
2 Consumer Discretionary 3.17%
3 Industrials 2.23%
4 Healthcare 1.35%
5 Consumer Staples 1.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPMD icon
801
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.9B
– –
-9
Closed –
SPR
802
DELISTED
Spirit AeroSystems
SPR
– –
-97
Closed -$5K
SPTI icon
803
State Street SPDR Portfolio Intermediate Term Treasury ETF
SPTI
$10.6B
– –
-57
Closed -$2K
SPTS icon
804
State Street SPDR Portfolio Short Term Treasury ETF
SPTS
$6.11B
– –
-54
Closed -$2K
TCRT icon
805
Alaunos Therapeutics
TCRT
$4.86M
– –
0
– –
TECS icon
806
Direxion Daily Technology Bear 3x ETF
TECS
$61.7M
– –
0
– –
TLSA icon
807
Tiziana Life Sciences
TLSA
$127M
$0 ﹤0.01%
250
– –
TRX icon
808
TRX Gold Corp
TRX
$344M
$0 ﹤0.01%
950
– –
USIG icon
809
iShares Broad USD Investment Grade Corporate Bond ETF
USIG
$17.4B
– –
-54
Closed -$3K
USHY icon
810
iShares Broad USD High Yield Corporate Bond ETF
USHY
$29.1B
– –
-22
Closed -$1K
USMV icon
811
iShares MSCI USA Min Vol Factor ETF
USMV
$24.4B
– –
-260
Closed -$19K
UVE icon
812
Universal Insurance Holdings
UVE
$1.23B
– –
-56
Closed -$1K
VHC icon
813
VirnetX Holding Corp
VHC
$63.1M
$0 ﹤0.01%
5
– –
VMEO
814
DELISTED
Vimeo
VMEO
$0 ﹤0.01%
12
– –
VVX icon
815
V2X
VVX
$2.65B
$0 ﹤0.01%
1
– –
VXX icon
816
iPath Series B S&P 500 VIX Short-Term Futures ETN
VXX
$147M
– –
-3
Closed -$2K
XSOE icon
817
WisdomTree Emerging Markets ex-State-Owned Enterprises Fund
XSOE
$2.09B
– –
-302
Closed -$13K
NKLA
818
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-10
Closed -$5K
SMAR
819
DELISTED
Smartsheet Inc.
SMAR
$0 ﹤0.01%
6
– –
AGR
820
DELISTED
Avangrid, Inc.
AGR
– –
-225
Closed -$12K
CLVRW
821
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$0 ﹤0.01%
200
– –
FSR
822
DELISTED
Fisker Inc.
FSR
$0 ﹤0.01%
30
– –
NEPT
823
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
– –
0
– –
MARK
824
DELISTED
Remark Holdings, Inc.
MARK
$0 ﹤0.01%
5
– –
RAD
825
DELISTED
Rite Aid Corporation
RAD
$0 ﹤0.01%
25
– –
30 31 32
33
34

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Tradewinds Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Tradewinds Capital Management held 833 positions worth $589M, up 7.9% from $546M the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Tradewinds Capital Management deployed $53.4M of net new capital in Q3 2021, opening 28 new positions and adding to 136 existing holdings. Its largest new stake was State Street SPDR Dow Jones Global Real Estate ETF: 491,876 shares worth $25.1M.

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 Schwab International Small-Cap Equity ETF, an estimated $26.2M trimmed.

  • Tradewinds Capital Management's largest Q3 2021 buy was State Street SPDR Dow Jones Global Real Estate ETF: 491,876 shares worth $25.1M.
  • Tradewinds Capital Management added most to Schwab US REIT ETF in Q3 2021, an estimated $34.4M increase.
  • Tradewinds Capital Management's biggest Q3 2021 reduction was Schwab International Small-Cap Equity ETF, cutting an estimated $26.2M.
  • Tradewinds Capital Management fully exited Curis in Q3 2021, selling an estimated $48K.
  • Tradewinds Capital Management's ten largest holdings make up 58% of its $589M portfolio in Q3 2021.
  • Tradewinds Capital Management opened 28 new positions and closed 45 in Q3 2021.
  • Tradewinds Capital Management's portfolio value rose 7.9% quarter-over-quarter to $589M.

Based on Tradewinds Capital Management's 13F filing for Q3 2021, filed 4 Nov 2021.