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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
BAC icon
101
Bank of America
BAC
$441B
$201K 0.16%
12,890
-803
-6% -$13.5K
PFE icon
102
Pfizer
PFE
$149B
$200K 0.16%
6,726
-1,947
-22% -$62.4K
ENB icon
103
Enbridge
ENB
$113B
$197K 0.15%
5,317
– –
DEO icon
104
Diageo
DEO
$51.6B
$182K 0.14%
1,692
-170
-9% -$18.9K
HDB icon
105
HDFC Bank
HDB
$122B
$182K 0.14%
11,900
– –
WFC icon
106
Wells Fargo
WFC
$265B
$173K 0.14%
3,378
+110
+3% +$6.05K
CTXS
107
DELISTED
Citrix Systems Inc
CTXS
$171K 0.13%
3,107
– –
NQS
108
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
$166K 0.13%
12,400
– –
NEE icon
109
NextEra Energy
NEE
$176B
$165K 0.13%
6,768
-860
-11% -$21.9K
UAL icon
110
United Airlines
UAL
$41.9B
$162K 0.13%
3,050
– –
MON
111
DELISTED
Monsanto Co
MON
$162K 0.13%
1,898
– –
NPF
112
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
$160K 0.13%
12,281
+4,000
+48% +$52.1K
EIM
113
Eaton Vance Municipal Bond Fund
EIM
$493M
$156K 0.12%
12,500
– –
MMM icon
114
3M
MMM
$93.2B
$149K 0.12%
1,257
-226
-15% -$27.8K
DUK icon
115
Duke Energy
DUK
$96.6B
$148K 0.12%
2,064
+2
+0.1% +$145
PCL
116
DELISTED
PLUM CREEK TIMBER CO (REIT)
PCL
$144K 0.11%
3,633
– –
FDX icon
117
FedEx
FDX
$74.7B
$142K 0.11%
986
+25
+3% +$3.99K
NXZ
118
DELISTED
NUVEEN DIV ADV MUNI FD-2
NXZ
$140K 0.11%
10,300
– –
EIX icon
119
Edison International
EIX
$25.9B
$139K 0.11%
2,200
– –
VCSH icon
120
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$138K 0.11%
1,735
+441
+34% +$35.1K
AKP
121
DELISTED
Alliance Californa Muni Fd
AKP
$137K 0.11%
10,000
– –
LOW icon
122
Lowe's Companies
LOW
$122B
$136K 0.11%
1,978
– –
MCD icon
123
McDonald's
MCD
$196B
$134K 0.1%
1,360
-51
-4% -$4.97K
CCA
124
DELISTED
MFS California Municipal Fund
CCA
$132K 0.1%
12,000
– –
RDS.A
125
DELISTED
Royal Dutch Shell PLC ADS Class A
RDS.A
$129K 0.1%
2,875
– –
3 4
5
6 7

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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.