OTA Financial Group L.P.
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Portfolio style
Measured from the filed 13F common-share book for Jun 30, 2023, never from the firm's own description.
Closest benchmark: the Nasdaq-100 as of 2023-06-30, active share 92.3%; sector active share 72.7% against the combined 13F book's sector weights.
Over time 14 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
4 tracked positions · as of Jun 30, 2023 · Δ vs Mar 31, 2023Portfolio Trend
Sector Breakdown
As of Jun 30, 2023| Sector | % Portfolio | Value |
|---|---|---|
| Consumer Cyclical | 63.5% | $45,905,610 |
| Financial Services | 28.3% | $20,460,000 |
| Communication Services | 8.2% | $5,936,275 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increasedTrimmed
Positions the filer reduced| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| — | −21,586 | 10,534 | $843,878 | ||
| No positions match the current search. | |||||
Sold Out
Positions the filer fully exited| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| — | 260,169 | $23,888,717 | ||
| MSFT | Microsoft Corp | 50,000 | $14,415,000 | |
| META | Meta Platforms, Inc. | 50,000 | $10,597,000 | |
| GOOG | Alphabet Inc. | 37,260 | $3,875,040 | |
| TYG | Tortoise Energy Infrastructure Corp | 73,232 | $2,153,020 | |
| SCHW | Schwab Charles Corp | 34,032 | $1,782,596 | |
| SHYG | iShares 0-5 Year High Yield Corporate Bond ETF | 41,591 | $1,733,512 | |
| SCHZ | Schwab U.S. Aggregate Bond ETF | 33,869 | $1,588,794 | |
| VCIT | VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND | 17,576 | $1,409,946 | |
| PAA | Plains All American Pipeline LP | 110,127 | $1,373,283 | |
| EOS | Eaton Vance Enhanced Equity Income Fund II | 52,511 | $861,180 | |
| RVT | Royce Small-Cap Trust, Inc. | 54,450 | $738,886 | |
| IGSB | iShares 1-5 Year Investment Grade Corporate Bond ETF | 12,110 | $612,039 | |
| BEP | Brookfield Renewable Partners L.P. | 18,094 | $570,141 | |
| KYN | Kayne Anderson Energy Infrastructure Fund, Inc. | 62,558 | $540,501 | |
| SPAB | State Street(R) SPDR(R) Portfolio Aggregate Bond ETF | 19,108 | $492,795 | |
| TDF | Templeton Dragon Fund Inc | 41,083 | $435,068 | |
| — | 39,287 | $403,477 | ||
| CWEN | Clearway Energy, Inc. | 12,868 | $403,154 | |
| CHI | Calamos Convertible Opportunities & Income Fund | 37,853 | $398,213 | |
| BCX | BlackRock Resources & Commodities Strategy Trust | 39,025 | $372,298 | |
| — | 34,044 | $348,951 | ||
| CHY | Calamos Convertible & High Income Fund | 29,803 | $325,448 | |
| DSU | Blackrock Debt Strategies Fund, Inc. | 33,221 | $315,931 | |
| RSF | RiverNorth Capital & Income Fund, Inc. | 19,999 | $304,924 | |
| No positions match the current search. | ||||
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| BKNG |
Booking Holdings Inc.
Consumer Cyclical
|
NEW | 17,000 | $45,905,610 | 63.49% | |
| BRK-B |
Berkshire Hathaway Inc
Financial Services
|
NEW | 60,000 | $20,460,000 | 28.30% | |
| GOOGL |
Alphabet Inc.
Communication Services
|
NEW | 42,543 | $5,092,397 | 7.04% | |
|
|
Reduced | 10,534 | $843,878 | 1.17% |
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.