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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
-3.38%
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
$128M
AUM Growth
-$14.6M
Cap. Flow
-$8.44M
Cap. Flow %
-6.6%
Top 10 Hldgs %
42.68%
Holding
761
New
63
Increased
110
Reduced
115
Closed
83

Top Buys

Rank Stock Value
1
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$789K
2
SCHV
Schwab US Large-Cap Value ETF
SCHV
+$341K
3
SCHG icon
Schwab US Large-Cap Growth ETF
SCHG
+$264K
4
SCHM icon
Schwab US Mid-Cap ETF
SCHM
+$198K
5
NPM
NUVEEN PREMIUM INCM MUNI FD II
NPM
+$184K

Top Sells

Rank Stock Value
1
SCHE icon
Schwab Emerging Markets Equity ETF
SCHE
+$5.9M
2
MDYV icon
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
+$1.8M
3
MSFT icon
Microsoft
MSFT
+$1.09M
4
MDYG icon
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
+$701K
5
SCHF icon
Schwab International Equity ETF
SCHF
+$341K

Sector Composition

Rank Sector Weight
1 Technology 24.52%
2 Industrials 7.45%
3 Consumer Discretionary 5.22%
4 Healthcare 5.14%
5 Financials 2.65%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
NQI
76
DELISTED
NUVEEN QUALITY MUNICIPAL FUND INC
NQI
$332K 0.26%
25,500
– –
NAD icon
77
Nuveen Quality Municipal Income Fund
NAD
$2.77B
$330K 0.26%
23,997
– –
CMCSA icon
78
Comcast
CMCSA
$90.2B
$313K 0.24%
10,990
+98
+0.9% +$2.91K
TRP icon
79
TC Energy
TRP
$66.4B
$310K 0.24%
9,814
– –
NPT
80
DELISTED
NUVEEN PREM INSD MUNI FD-4 INC
NPT
$298K 0.23%
22,850
– –
CEV
81
Eaton Vance California Municipal Income Trust
CEV
$73.1M
$293K 0.23%
22,300
– –
NVX
82
DELISTED
Nuveen Calif Div Muni
NVX
$293K 0.23%
19,600
– –
NZH
83
DELISTED
Nuveen Calif Div
NZH
$289K 0.23%
21,500
– –
EVM
84
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
$285K 0.22%
24,500
– –
AMAT icon
85
Applied Materials
AMAT
$427B
$254K 0.2%
17,315
+3
+0% +$50
GE icon
86
GE Aerospace
GE
$385B
$253K 0.2%
2,096
+41
+2% +$5.03K
STJ
87
DELISTED
St Jude Medical
STJ
$247K 0.19%
3,920
– –
OIA icon
88
Invesco Municipal Income Opportunities Trust
OIA
$291M
$246K 0.19%
36,392
– –
WMT icon
89
Walmart Inc
WMT
$888B
$242K 0.19%
11,205
+3
+0% +$69
PGR icon
90
Progressive
PGR
$125B
$238K 0.19%
7,765
– –
VZ icon
91
Verizon
VZ
$195B
$228K 0.18%
5,244
-356
-6% -$16.4K
BP icon
92
BP
BP
$108B
$219K 0.17%
8,522
+420
+5% +$12.3K
NVG icon
93
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.69B
$218K 0.17%
15,626
– –
T icon
94
AT&T
T
$163B
$217K 0.17%
8,818
+1,259
+17% +$32.1K
PEP icon
95
PepsiCo
PEP
$190B
$214K 0.17%
2,274
-158
-6% -$15K
SE
96
DELISTED
Spectra Energy Corp Wi
SE
$214K 0.17%
8,130
– –
GLD icon
97
SPDR Gold Trust
GLD
$141B
$212K 0.17%
1,982
-250
-11% -$26.9K
VNQ icon
98
Vanguard Real Estate ETF
VNQ
$39.1B
$212K 0.17%
2,800
+95
+4% +$7.3K
MRK icon
99
Merck
MRK
$316B
$210K 0.16%
4,464
-33
-0.7% -$1.75K
XOM icon
100
ExxonMobil
XOM
$635B
$202K 0.16%
2,712
+51
+2% +$3.93K
2 3
4
5 6

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Tradewinds Capital Management's Q3 2015 Portfolio in Review

As of Q3 2015, Tradewinds Capital Management held 761 positions worth $128M, down 10% from $143M the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Tradewinds Capital Management withdrew a net $8.44M in Q3 2015, closing 83 positions and reducing 115 holdings. Its most notable exit was iShares S&P Mid-Cap 400 Value ETF, an estimated $65K position sold in full.

By sector, the portfolio is most concentrated in Technology at 25% of assets, up from 24% a quarter earlier, followed by Industrials and Consumer Discretionary.

Against the trend, Tradewinds Capital Management opened a new position in PayPal worth $113K.

  • Tradewinds Capital Management's largest Q3 2015 buy was PayPal: 3,630 shares worth $113K.
  • Tradewinds Capital Management added most to State Street SPDR S&P 600 Small Cap Value ETF in Q3 2015, an estimated $789K increase.
  • Tradewinds Capital Management's biggest Q3 2015 reduction was Schwab Emerging Markets Equity ETF, cutting an estimated $5.9M.
  • Tradewinds Capital Management fully exited iShares S&P Mid-Cap 400 Value ETF in Q3 2015, selling an estimated $65K.
  • Tradewinds Capital Management's ten largest holdings make up 43% of its $128M portfolio in Q3 2015.
  • Tradewinds Capital Management opened 63 new positions and closed 83 in Q3 2015.
  • Tradewinds Capital Management's portfolio value fell 10% quarter-over-quarter to $128M.

Based on Tradewinds Capital Management's 13F filing for Q3 2015, filed 2 Nov 2015.