Winfield Associates, Inc.

CIK

1569655

Location

CLEVELAND, OH

Portfolio Value

Small $269,602,070

Diversification

Diversified

Filing Date

Global Rank

#3,987 / 6,901 ▼ 72 · as of Mar 2022

Top Industry

Software - Infrastructure 15.0%

Period ended 4 years ago

Filed Apr 5, 2022 · 4y

9 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Unknown

Portfolio style

Measured from the filed 13F common-share book for Mar 31, 2022, never from the firm's own description.

Style

Concentrated

The top 10 positions are 65.5% of the book (60%+)

Turnover

Low turnover

13.3% over the last four quarters (under 30%)

Horizon

Horizon unknown

The value-weighted holding period is at least 8.3 quarters, but 80.4% of the book was already held when coverage starts

Closest benchmark: the S&P 500 as of 2022-03-31, active share 65.9%; sector active share 32.9% against the combined 13F book's sector weights.

Over time 9 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 backtest

Portfolio Concentration

145 tracked positions · as of Mar 31, 2022 · Δ vs Dec 31, 2021

Top Position

20.6%

+2.7 pts

Top 5

48.8%

+2.7 pts

Top 10

65.5%

+3.4 pts

HHI

714

Diversified+104

Portfolio Trend

9 quarters · across all stocks

Sector Breakdown

As of Mar 31, 2022

Sector	% Portfolio	Value	Positions
Unclassified	44.6%	$120,164,456	61
Technology	23.2%	$62,442,027	19
Consumer Cyclical	10.1%	$27,223,118	7
Communication Services	7.0%	$18,903,185	6
Financial Services	5.0%	$13,594,372	19
Real Estate	4.7%	$12,710,258	8
Consumer Defensive	1.2%	$3,173,078	6
Healthcare	1.1%	$2,952,952	6
Energy	1.1%	$2,946,990	4
Industrials	0.9%	$2,413,807	4
Basic Materials	0.7%	$1,974,666	3
Utilities	0.4%	$1,103,161	2

Last Quarter's Activity

Export CSV

Mar 31, 2022 vs Dec 31, 2021

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
F	Ford Motor Co	+36,525	79,625	$1,346,458
DVY	iShares Select Dividend ETF	+22,442	54,282	$6,955,152
JMST	JPMorgan Ultra-Short Municipal Income ETF	+16,500	33,500	$1,696,440
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	+16,109	30,059	$2,297,709
BP	Bp PLC	+12,875	38,680	$1,137,192
JPST	JPMorgan Ultra-Short Income ETF	+11,200	64,890	$3,262,020
BAC	Bank Of America Corp	+9,731	15,131	$623,699
SHY	iShares 1-3 Year Treasury Bond ETF	+7,150	43,100	$3,592,385
SHV	iShares 0-1 Year Treasury Bond ETF	+6,500	27,200	$2,998,800
DGRO	iShares Core Dividend Growth ETF	+6,400	15,770	$842,275
VTRS	Viatris Inc	+3,835	21,994	$239,294
XLF	State Street Corp	+3,800	9,950	$381,284
SUB	iShares Short-Term National Muni Bond ETF	+3,575	17,630	$1,844,098
VLUE	iShares MSCI USA Value Factor ETF	+3,503	24,367	$2,548,057
COP	Conocophillips	+3,261	7,169	$716,900
STIP	iShares 0-5 Year TIPS Bond ETF	+2,900	21,500	$2,256,210
IVV	iShares Core S&P 500 ETF	+2,881	19,701	$8,938,146
NAC	Nuveen California Quality Municipal Income Fund	+2,500	13,300	$174,496
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	+2,130	25,381	$5,778,492
SCHX	Schwab U.S. Large-Cap ETF	+1,916	3,833	$206,407
LMT	Lockheed Martin Corp	+1,910	2,897	$1,278,735
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	+1,815	45,326	$3,539,507
KRE	State Street(R) SPDR(R) S&P(R) Regional Banking ETF	+1,700	9,860	$679,354
CVX	Chevron Corp	+1,693	5,109	$831,898
SPY	Spdr S&P 500 ETF Trust	+1,510	30,061	$13,576,750
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
XBI	State Street(R) SPDR(R) S&P(R) Biotech ETF	−33,471	12,117	$1,089,075
AAPL	Apple Inc.	−11,611	127,475	$22,258,409
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	−9,500	23,125	$2,381,412
PFF	iShares Preferred and Income Securities ETF	−8,800	25,755	$937,997
BAB	Invesco Exchange-Traded Fund Trust II	−7,995	15,150	$449,500
AGG	iShares Core U.S. Aggregate Bond ETF	−4,586	32,606	$3,492,102
VEA	Vanguard FTSE Developed Markets ETF	−4,487	24,861	$1,194,073
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	−3,989	24,175	$1,800,070
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	−3,910	5,020	$231,572
IJK	iShares S&P Mid-Cap 400 Growth ETF	−3,770	64,878	$5,013,123
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	−3,650	16,176	$1,391,783
META	Meta Platforms, Inc.	−3,472	4,053	$901,225
—		−3,405	4,330	$698,862
—		−3,312	20,778	$2,707,373
FINX	Global X FinTech ETF	−2,875	11,289	$361,473
LDP	Cohen & Steers Ltd Duration Preferred & Income Fund, Inc.	−2,700	18,137	$415,700
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	−2,275	19,360	$3,076,884
MSFT	Microsoft Corp	−2,127	56,941	$17,555,479
T	At&T Inc.	−2,111	17,045	$402,772
AMT	American Tower Corp	−1,690	10,652	$2,675,995
NOW	ServiceNow, Inc.	−1,366	580	$322,996
FSLR	First Solar, Inc.	−1,363	3,253	$272,406
SHOP	Shopify Inc.	−1,235	1,154	$780,057
XLC	State Street(R) Communication Services Select Sector SPDR(R) ETF	−1,160	8,770	$603,200
QUAL	iShares MSCI USA Quality Factor ETF	−1,000	6,979	$939,582
No positions match the current search.

New Positions

Positions the filer opened this quarter

4 positions

Ticker	Company	Shares	Value
KBE	State Street(R) SPDR(R) S&P(R) Bank ETF	4,984	$260,912
TRV	Travelers Companies, Inc.	1,200	$219,276
RELY	Remitly Global, Inc.	10,059	$99,282
BATT	Amplify Lithium & Battery Technology ETF	13,205	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

7 positions

Ticker	Company	Shares	Value
CF	CF Industries Holdings, Inc.	6,600	$467,148
—		3,400	$305,000
MRNA	Moderna, Inc.	1,085	$275,568
NKE	NIKE, Inc.	1,380	$230,004
MCHP	Microchip Technology Inc	2,636	$229,490
EWJ	iShares MSCI Japan ETF	3,319	$222,240
CRSP	CRISPR Therapeutics AG	2,700	$204,606
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

145 tracked positions · $269,602,070 total · filing declares 153 positions · $276,440,000 · as of Mar 31, 2022

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 145 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	Held (qtrs)	Est. cost/share	% of Portfolio
AAPL	Apple Inc. Technology	Reduced	127,475	-11,611	$22,258,409	−9.9%	9+	before history	8.26%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	6,035	-179	$19,673,798	−5.0%	9+	before history	7.30%
MSFT	Microsoft Corp Technology	Reduced	56,941	-2,127	$17,555,479	−11.6%	9+	before history	6.51%
SPY	Spdr S&P 500 ETF Trust	Added	30,061	+1,510	$13,576,750	+0.1%	9+	before history	5.04%
GOOG	Alphabet Inc. Communication Services	Reduced	4,544	-35	$12,691,000	−4.2%	9+	before history	4.71%
IVV	iShares Core S&P 500 ETF	Added	19,701	+2,881	$8,938,146	+11.4%	9+	before history	3.32%
DVY	iShares Select Dividend ETF	Added	54,282	+22,442	$6,955,152	+78.2%	5	unpriced	2.58%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	25,381	+2,130	$5,778,492	+2.9%	9+	before history	2.14%
IJK	iShares S&P Mid-Cap 400 Growth ETF	Reduced	64,878	-3,770	$5,013,123	−14.3%	9+	before history	1.86%
MINT	PIMCO Enhanced Short Maturity Active Exchange-Traded Fund	Added	45,512	+125	$4,558,481	−1.1%	9+	before history	1.69%
NVDA	Nvidia Corp Technology	Reduced	14,641	-235	$3,994,943	−8.7%	9+	before history	1.48%
GOOGL	Alphabet Inc. Communication Services	Reduced	1,356	-25	$3,771,510	−5.7%	9+	before history	1.40%
SHY	iShares 1-3 Year Treasury Bond ETF	Added	43,100	+7,150	$3,592,385	+16.8%	9+	before history	1.33%
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	Added	45,326	+1,815	$3,539,507	+0.1%	9+	before history	1.31%
AGG	iShares Core U.S. Aggregate Bond ETF	Reduced	32,606	-4,586	$3,492,102	−17.7%	9+	before history	1.30%
JPST	JPMorgan Ultra-Short Income ETF	Added	64,890	+11,200	$3,262,020	+20.4%	9+	before history	1.21%
MDB	MongoDB, Inc. Technology	Reduced	7,195	-247	$3,191,630	−19.0%	9+	before history	1.18%
PLD	Prologis, Inc. Real Estate	Reduced	19,334	-50	$3,122,054	−4.3%	9+	before history	1.16%
PGR	Progressive Corp Financial Services	Added	27,335	+155	$3,115,916	+11.7%	9+	before history	1.16%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	19,360	-2,275	$3,076,884	−18.2%	9+	before history	1.14%
SHV	iShares 0-1 Year Treasury Bond ETF	Added	27,200	+6,500	$2,998,800	+31.2%	9+	before history	1.11%
ANET	Arista Networks, Inc. Technology	Reduced	21,360	-900	$2,968,612	−7.2%	9+	before history	1.10%
CCI	Crown Castle Inc. Real Estate	Reduced	15,929	-950	$2,940,493	−16.5%	9+	before history	1.09%
HD	Home Depot, Inc. Consumer Cyclical	Reduced	9,583	-11	$2,868,479	−28.0%	9+	before history	1.06%
AMD	Advanced Micro Devices Inc Technology	Reduced	26,160	-321	$2,860,334	−24.9%	9+	before history	1.06%
IGSB	iShares 1-5 Year Investment Grade Corporate Bond ETF	Added	54,793	+32	$2,833,893	−4.0%	9+	before history	1.05%
		Reduced	20,778	-3,312	$2,707,373	−26.4%	9+	before history	1.00%
AMT	American Tower Corp Real Estate	Reduced	10,652	-1,690	$2,675,995	−25.9%	9+	before history	0.99%
IJR	iShares Core S&P Small-Cap ETF	Reduced	24,596	-719	$2,653,416	−8.5%	5	unpriced	0.98%
V	Visa Inc. Financial Services	Reduced	11,571	-211	$2,566,100	+0.5%	9+	before history	0.95%
VLUE	iShares MSCI USA Value Factor ETF	Added	24,367	+3,503	$2,548,057	+11.6%	7	unpriced	0.95%
XLI	State Street(R) Industrial Select Sector SPDR(R) ETF	Reduced	23,125	-9,500	$2,381,412	−31.0%	9+	before history	0.88%
XLE	State Street(R) Energy Select Sector SPDR(R) ETF	Added	30,059	+16,109	$2,297,709	+196.8%	2	unpriced	0.85%
STIP	iShares 0-5 Year TIPS Bond ETF	Added	21,500	+2,900	$2,256,210	+14.6%	4	unpriced	0.84%
CRM	Salesforce, Inc. Technology	Reduced	9,967	-209	$2,116,193	−18.2%	9+	before history	0.78%
IEF	iShares 7-10 Year Treasury Bond ETF	Added	19,520	+146	$2,097,814	−5.8%	9+	before history	0.78%
LOW	Lowes Companies Inc Consumer Cyclical	Reduced	9,563	-126	$1,933,542	−22.8%	8	$151.65	0.72%
CWB	State Street(R) SPDR(R) Bloomberg Convertible Securities ETF	Held	24,661	0	$1,897,663	−7.2%	9+	before history	0.70%
SHYG	iShares 0-5 Year High Yield Corporate Bond ETF	Added	42,544	+400	$1,870,234	−2.0%	4	unpriced	0.69%
SUB	iShares Short-Term National Muni Bond ETF	Added	17,630	+3,575	$1,844,098	+22.2%	9+	before history	0.68%
XLU	State Street(R) Utilities Select Sector SPDR(R) ETF	Reduced	24,175	-3,989	$1,800,070	−10.7%	7	unpriced	0.67%
BOND	PIMCO Active Bond Exchange-Traded Fund	Reduced	17,439	-300	$1,774,941	−8.5%	9+	before history	0.66%
JMST	JPMorgan Ultra-Short Municipal Income ETF	Added	33,500	+16,500	$1,696,440	+95.4%	5	unpriced	0.63%
DLR	Digital Realty Trust, Inc. Real Estate	Reduced	11,439	-800	$1,622,050	−25.1%	9+	before history	0.60%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Reduced	16,176	-3,650	$1,391,783	−24.3%	8	unpriced	0.52%
TOTL	State Street(R) DoubleLine(R) Total Return Tactical ETF	Held	30,785	0	$1,378,244	−5.4%	9+	before history	0.51%
F	Ford Motor Co Consumer Cyclical	Added	79,625	+36,525	$1,346,458	+50.4%	2	$18.68	0.50%
MRVL	Marvell Technology, Inc. Technology	Held	18,271	0	$1,310,213	−18.0%	4	$50.29	0.49%
AVNT	Avient Corp Basic Materials	Held	26,938	0	$1,293,024	−14.2%	4	$50.58	0.48%
LMT	Lockheed Martin Corp Industrials	Added	2,897	+1,910	$1,278,735	+264.5%	9+	before history	0.47%

Showing the top 50 of 145 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

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.