13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-06, with 686 holding rows worth $238,534,000.
- Accession
- 0001616026-18-000004
- Filer
- CIK 1616026
- Filed
- 2018-08-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 686 entries on the cover page, a total value of $238,534,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $238,534,000 with VALUE read as thousands by filing date, 13F file number 028-16264. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| RSP PERMIAN INC | 74978Q105 | COM | 114 | $5,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 218 | $4,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 33 | $4,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 10 | $4,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 705 | $4,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 80 | $4,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 296 | $4,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 42 | $4,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 51 | $4,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 61 | $4,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 100 | $4,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 93 | $4,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 260 | $4,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 252 | $4,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 50 | $4,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 87 | $4,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 150 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 300 | $4,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 1,530 | $4,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,000 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 201 | $4,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 364 | $4,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 720 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 180 | $4,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 69 | $3,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 18 | $3,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 100 | $3,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 55 | $3,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 55 | $3,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 55 | $3,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 30 | $3,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 39 | $3,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 36 | $3,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 81 | $3,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 287 | $3,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 219 | $3,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 50 | $3,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 71 | $3,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 500 | $3,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 55 | $3,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 120 | $3,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 100 | $3,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 50 | $3,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 128 | $3,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 316 | $3,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 589 | $3,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 500 | $3,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 1,000 | $3,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 20 | $2,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 20 | $2,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 5 | $2,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 15 | $2,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 20 | $2,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 16 | $2,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 545 | $2,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 770 | $2,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 50 | $2,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 30 | $2,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 32 | $2,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 58 | $2,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 141 | $2,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 22 | $2,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 100 | $2,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 700 | $2,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 1,071 | $2,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 500 | $2,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 580 | $2,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 1,095 | $2,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 160 | $2,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 100 | $2,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 87 | $2,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 28 | $2,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 51 | $2,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 560 | $2,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 219 | $2,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 385 | $2,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 115 | $2,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 129 | $2,000 | thousands by filing date | |
| ENERGY TRANSFER PARTNERS LP | 29278N103 | UNIT LTD PRT INT | 101 | $2,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 64 | $2,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 150 | $2,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $2,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 100 | $2,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 896 | $2,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 150 | $2,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 500 | $2,000 | thousands by filing date | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 57 | $2,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 95 | $2,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 17 | $1,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 500 | $1,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 5 | $1,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 11 | $1,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 36 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 36 | $1,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 16 | $1,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 160 | $1,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 50 | $1,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 440 | $1,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 12 | $1,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 46 | $1,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 4 | $1,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 18 | $1,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 154 | $1,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 526 | $1,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 160 | $1,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 90 | $1,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 2 | $1,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 90 | $1,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 70 | $1,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 28 | $1,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 15 | $1,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 11 | $1,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 34 | $1,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 211 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 46 | $1,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 59 | $1,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 15 | $1,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 12 | $1,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 39 | $1,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 16 | $1,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 34 | $1,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 3 | $1,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 30 | $1,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 30 | $1,000 | thousands by filing date | |
| LUXOFT HLDG INC | G57279104 | ORD SHS CL A | 15 | $1,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 95 | $1,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 40 | $1,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 202 | $1,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 23 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 75 | $1,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 20 | $1,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 338 | $1,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 660 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 30 | $1,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 100 | $1,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 35 | $1,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 520 | $1,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 200 | $1,000 | thousands by filing date | |
| DDR CORP | 23317H854 | COM | 60 | $1,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WORKDAY INC CL A | 98138H101 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HASBRO INC COM | 418056107 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 125 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IDEXX LABS INC COM | 45168D104 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MASIMO CORP COM | 574795100 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CROCS INC COM | 227046109 | Stock | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| V2X INC | 92242T101 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLUG PWR INC | 72919P202 | COM NEW | 80 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IROBOT CORP | 462726100 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LENNAR CORP CL B | 526057302 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 21 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEKTAR THERAPEUTICS | 640268108 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARMONIC INC | 413160102 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKBERRY LTD COM | 09228F103 | Stock | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NATUS MEDICAL INC | 639050103 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HARRIS CORP INC | 413875105 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STERIS PLC | G84720104 | SHS USD | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEADRILL ORD | G7945E105 | COM | 1,453 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIRNETX HLDG CORP | 92823T108 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HELIOS & MATHESON ANALYTICS | 42327L200 | COM NEW | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEOVASC INC COM STK | 64065J106 | COM | 375 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Pareteum Corporation | 69946T207 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIOTIME INC | 09066L162 | W EXP 10/01/201 | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536204 | COM NEW | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 101 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-18-000004 | this filing | 2018-08-06 | acceptance time not in the bulk data set |