13F-HR filed by Tradewinds Capital Management, LLC
Tradewinds Capital Management, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-17, with 640 holding rows worth $252,260,000.
- Accession
- 0001616026-19-000006
- Filer
- CIK 1616026
- Filed
- 2019-10-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 640 entries on the cover page, a total value of $252,260,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $252,260,000 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 |
|---|---|---|---|---|---|---|
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 45 | $3,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 25 | $3,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 260 | $3,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 100 | $3,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 43 | $3,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 500 | $3,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 227 | $3,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 150 | $3,000 | thousands by filing date | |
| DB GOLD DOUBLE LONG ETN | 25154H749 | DB GOLD DBL LNG | 100 | $3,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 20 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 27 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 40 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 50 | $3,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 250 | $3,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 140 | $3,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 670 | $3,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 1,030 | $3,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,000 | $3,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 100 | $2,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 69 | $2,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 20 | $2,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 20 | $2,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 100 | $2,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 22 | $2,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 7 | $2,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 13 | $2,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 49 | $2,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 705 | $2,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 33 | $2,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 20 | $2,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 27 | $2,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 100 | $2,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 12 | $2,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 15 | $2,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 15 | $2,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 18 | $2,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 700 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 35 | $2,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 11 | $2,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 64 | $2,000 | thousands by filing date | |
| ABRDN PLATINUM ETF TRUST | 003260106 | PHYSCL PLATM SHS | 25 | $2,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 100 | $2,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 177 | $2,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 107 | $2,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 120 | $2,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 152 | $2,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 10 | $2,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 36 | $2,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 53 | $2,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 85 | $2,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 28 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 50 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 20 | $2,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 53 | $2,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 14 | $2,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 95 | $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 | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 50 | $2,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 500 | $2,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 355 | $2,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 200 | $2,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 6 | $1,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 270 | $1,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 36 | $1,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 33 | $1,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 50 | $1,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 16 | $1,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 17 | $1,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 25 | $1,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 160 | $1,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 50 | $1,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 50 | $1,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 30 | $1,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 125 | $1,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 9 | $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 | |
| CROCS INC COM | 227046109 | Stock | 25 | $1,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 154 | $1,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 90 | $1,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 580 | $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 | |
| JBT MAREL CORPORATION | 477839104 | COM | 12 | $1,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 120 | $1,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 4 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 27 | $1,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 33 | $1,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 34 | $1,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 100 | $1,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 33 | $1,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 30 | $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 | 89 | $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 | |
| DIEBOLD NXDF INC | 253651103 | COM | 129 | $1,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 200 | $1,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 150 | $1,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 338 | $1,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 171 | $1,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 100 | $1,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 520 | $1,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 200 | $1,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 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. |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 600 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STERIS PLC SHS USD | G8473T100 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 440 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW GOLD INC CDA | 644535106 | COM | 126 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 8 | $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. |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ADIENT PLC | G0084W101 | ORD SHS | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BED BATH & BEYOND INC | 690370101 | COM | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KONTOOR BRANDS INC | 50050N103 | COM | 9 | $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. |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MATTEL INC | 577081102 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVITAE CORP | 46185L103 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mallinckrodt Plc | G5785G107 | SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 15 | $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. |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 20 | $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. |
| AVANTAX INC | 095229100 | COMMON STOCK | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETFMG | 26924G508 | EXCHANGE TRADED | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RITE AID CORP | 767754872 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREAT PANTHER MINING | 39115V101 | COM | 660 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 896 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Axonics | 88875G101 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001616026-19-000006 | this filing | 2019-10-17 | acceptance time not in the bulk data set |