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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
+7.05%
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
$652M
AUM Growth
+$63.5M
Cap. Flow
+$30.3M
Cap. Flow %
4.64%
Top 10 Hldgs %
54.31%
Holding
846
New
56
Increased
136
Reduced
115
Closed
37

Top Buys

Rank Stock Value
1
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$28.4M
2
SUSA icon
iShares ESG Optimized MSCI USA ETF
SUSA
+$28.3M
3
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$28.1M
4
CORP icon
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund
CORP
+$23.1M
5
SCHP icon
Schwab US TIPS ETF
SCHP
+$18.3M

Top Sells

Rank Stock Value
1
SCHR
Schwab Intermediately-Term US Treasury ETF
SCHR
+$27.8M
2
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$27.7M
3
SCHH icon
Schwab US REIT ETF
SCHH
+$27.2M
4
MDYV icon
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
+$25.7M
5
EWZ icon
iShares MSCI Brazil ETF
EWZ
+$21.5M

Sector Composition

Rank Sector Weight
1 Technology 16.62%
2 Consumer Discretionary 3.12%
3 Industrials 2.05%
4 Consumer Staples 1.32%
5 Healthcare 1.31%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ATSG
826
DELISTED
Air Transport Services Group
ATSG
– –
-69
Closed -$2K
INFN
827
DELISTED
Infinera Corporation Common Stock
INFN
– –
-100
Closed -$1K
SMAR
828
DELISTED
Smartsheet Inc.
SMAR
$0 ﹤0.01%
6
– –
EVA
829
DELISTED
Enviva Inc.
EVA
– –
-302
Closed -$16K
CLVRW
830
DELISTED
Clever Leaves Holdings Inc. Warrant
CLVRW
$0 ﹤0.01%
200
– –
FSR
831
DELISTED
Fisker Inc.
FSR
$0 ﹤0.01%
30
– –
NEPT
832
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
– –
0
– –
MARK
833
DELISTED
Remark Holdings, Inc.
MARK
$0 ﹤0.01%
5
– –
FRTX
834
DELISTED
Fresh Tracks Therapeutics, Inc. Common Stock
FRTX
– –
0
– –
RAD
835
DELISTED
Rite Aid Corporation
RAD
$0 ﹤0.01%
25
– –
SDC
836
DELISTED
SmileDirectClub, Inc. Class A Common Stock
SDC
– –
-250
Closed -$1K
AMRS
837
DELISTED
Amyris Inc.
AMRS
– –
-1
Closed –
GER
838
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
– –
-173
Closed -$2K
HEXO
839
DELISTED
HEXO Corp. Common Shares
HEXO
$0 ﹤0.01%
7
– –
COUP
840
DELISTED
Coupa Software Incorporated
COUP
– –
-5
Closed -$1K
SRNE
841
DELISTED
Sorrento Therapeutics, Inc.
SRNE
– –
-50
Closed –
HYMCZ
842
DELISTED
Hycroft Mining Holding Corporation Warrant
HYMCZ
$0 ﹤0.01%
100
– –
GPL
843
DELISTED
Great Panther Mining Limited
GPL
$0 ﹤0.01%
66
– –
KSU
844
DELISTED
Kansas City Southern
KSU
– –
-48
Closed -$13K
NXQ
845
DELISTED
NUVEEN ELECT TAX-FREE INC 2
NXQ
– –
-2,515
Closed -$39K
PEI
846
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
– –
-418
Closed -$12K
30 31 32 33
34

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Tradewinds Capital Management's Q4 2021 Portfolio in Review

As of Q4 2021, Tradewinds Capital Management held 846 positions worth $652M, up 11% from $589M the previous quarter. Its ten largest holdings account for 54% of the portfolio.

Tradewinds Capital Management deployed $30.3M of net new capital in Q4 2021, opening 56 new positions and adding to 136 existing holdings. Its largest new stake was iShares ESG Optimized MSCI USA ETF: 275,317 shares worth $29.3M.

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

On the sell side, the largest reduction was Schwab Intermediately-Term US Treasury ETF, an estimated $27.8M trimmed.

  • Tradewinds Capital Management's largest Q4 2021 buy was iShares ESG Optimized MSCI USA ETF: 275,317 shares worth $29.3M.
  • Tradewinds Capital Management added most to State Street SPDR Portfolio S&P 500 Growth ETF in Q4 2021, an estimated $28.4M increase.
  • Tradewinds Capital Management's biggest Q4 2021 reduction was Schwab Intermediately-Term US Treasury ETF, cutting an estimated $27.8M.
  • Tradewinds Capital Management fully exited Lucid Motors in Q4 2021, selling an estimated $126K.
  • Tradewinds Capital Management's ten largest holdings make up 54% of its $652M portfolio in Q4 2021.
  • Tradewinds Capital Management opened 56 new positions and closed 37 in Q4 2021.
  • Tradewinds Capital Management's portfolio value rose 11% quarter-over-quarter to $652M.

Based on Tradewinds Capital Management's 13F filing for Q4 2021, filed 2 Feb 2022.