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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
+6.67%
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
$319M
AUM Growth
+$66.5M
Cap. Flow
+$48.5M
Cap. Flow %
15.21%
Top 10 Hldgs %
60.16%
Holding
729
New
89
Increased
156
Reduced
66
Closed
28

Top Buys

Rank Stock Value
1
CORP icon
PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund
CORP
+$19.3M
2
RSPD icon
Invesco S&P 500 Equal Weight Consumer Discretionary ETF
RSPD
+$14.7M
3
RSPN icon
Invesco S&P 500 Equal Weight Industrials ETF
RSPN
+$14.7M
4
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$14.7M
5
EWG icon
iShares MSCI Germany ETF
EWG
+$13.5M

Top Sells

Rank Stock Value
1
CWB icon
State Street SPDR Bloomberg Convertible Securities ETF
CWB
+$28.9M
2
EWA icon
iShares MSCI Australia ETF
EWA
+$14.6M
3
GXC icon
State Street SPDR S&P China ETF
GXC
+$14.2M
4
SCHA icon
Schwab U.S Small- Cap ETF
SCHA
+$14.1M
5
SPEU icon
State Street SPDR Portfolio Europe ETF
SPEU
+$4.09M

Sector Composition

Rank Sector Weight
1 Technology 18.65%
2 Industrials 4.35%
3 Consumer Discretionary 4.04%
4 Healthcare 2.06%
5 Financials 2.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BAX icon
151
Baxter International
BAX
$14.3B
$84K 0.03%
1,000
– –
UNH icon
152
UnitedHealth
UNH
$371B
$83K 0.03%
283
-40
-12% -$10.5K
AMCR icon
153
Amcor
AMCR
$22.1B
$80K 0.03%
+1,474
New +$73.8K
CHTR icon
154
Charter Communications
CHTR
$18.3B
$80K 0.03%
164
– –
EMR icon
155
Emerson Electric
EMR
$88.6B
$80K 0.03%
1,055
-161
-13% -$11.6K
CAT icon
156
Caterpillar
CAT
$387B
$78K 0.02%
528
+1
+0.2% +$140
NEE icon
157
NextEra Energy
NEE
$178B
$78K 0.02%
1,296
-68
-5% -$3.97K
ALLE icon
158
Allegion
ALLE
$14.5B
$77K 0.02%
620
– –
MO icon
159
Altria Group
MO
$114B
$77K 0.02%
1,543
+300
+24% +$14.2K
S
160
DELISTED
Sprint Corporation
S
$77K 0.02%
14,828
– –
KEY icon
161
KeyCorp
KEY
$24.4B
$76K 0.02%
3,752
– –
PMO
162
Franklin Municipal Opportunities Trust
PMO
$286M
$76K 0.02%
5,796
– –
SAP icon
163
SAP
SAP
$238B
$76K 0.02%
569
– –
CRM icon
164
Salesforce
CRM
$157B
$75K 0.02%
460
+173
+60% +$27.1K
EIX icon
165
Edison International
EIX
$26.5B
$75K 0.02%
1,000
– –
HE icon
166
Hawaiian Electric Industries
HE
$2.15B
$75K 0.02%
1,600
– –
NZF icon
167
Nuveen Municipal Credit Income Fund
NZF
$2.44B
$75K 0.02%
4,590
– –
TLK icon
168
Telkom Indonesia
TLK
$14.9B
$75K 0.02%
2,634
– –
DELL icon
169
Dell
DELL
$289B
$74K 0.02%
2,843
-407
-13% -$10.6K
VKQ icon
170
Invesco Municipal Trust
VKQ
$549M
$74K 0.02%
5,988
– –
NAD icon
171
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$73K 0.02%
5,018
– –
SPEU icon
172
State Street SPDR Portfolio Europe ETF
SPEU
$745M
$73K 0.02%
2,013
-117,982
-98% -$4.09M
LMT icon
173
Lockheed Martin
LMT
$135B
$71K 0.02%
182
+47
+35% +$18K
NEA icon
174
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.41B
$71K 0.02%
4,928
-780
-14% -$11.1K
EQR icon
175
Equity Residential
EQR
$25.2B
$70K 0.02%
860
– –
5 6
7
8 9

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Tradewinds Capital Management's Q4 2019 Portfolio in Review

As of Q4 2019, Tradewinds Capital Management held 729 positions worth $319M, up 26% from $252M the previous quarter. Its ten largest holdings account for 60% of the portfolio.

Tradewinds Capital Management deployed $48.5M of net new capital in Q4 2019, opening 89 new positions and adding to 156 existing holdings. Its largest new stake was PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund: 176,180 shares worth $19.4M.

By sector, the portfolio is most concentrated in Technology at 19% of assets, down from 22% a quarter earlier, followed by Industrials and Consumer Discretionary.

On the sell side, the largest reduction was State Street SPDR Bloomberg Convertible Securities ETF, an estimated $28.9M trimmed.

  • Tradewinds Capital Management's largest Q4 2019 buy was PIMCO Investment Grade Corporate Bond Index Exchange-Traded Fund: 176,180 shares worth $19.4M.
  • Tradewinds Capital Management added most to Schwab US Large- Cap ETF in Q4 2019, an estimated $14.7M increase.
  • Tradewinds Capital Management's biggest Q4 2019 reduction was State Street SPDR Bloomberg Convertible Securities ETF, cutting an estimated $28.9M.
  • Tradewinds Capital Management fully exited SPDR Solactive Germany ETF in Q4 2019, selling an estimated $1.38M.
  • Tradewinds Capital Management's ten largest holdings make up 60% of its $319M portfolio in Q4 2019.
  • Tradewinds Capital Management opened 89 new positions and closed 28 in Q4 2019.
  • Tradewinds Capital Management's portfolio value rose 26% quarter-over-quarter to $319M.

Based on Tradewinds Capital Management's 13F filing for Q4 2019, filed 4 Feb 2020.