SEC 13F Intelligence

Managers / Q1 2020 · view latest →

OTA Financial Group L.P.

CIK 0001317346 · 1 MANHATTANVILLE ROAD, PURCHASE, NY, 10577 · 914-694-5800

Reported Value
$80M
Q1 2020
Positions
42
Filings on Record
20
2019–present window
Filed
Apr 16, 2020
amendment (RESTATEMENT)

Summary

Ota Financial Group L.P. reported $80M in U.S.-listed holdings across 42 positions for Q1 2020.

The portfolio is heavily concentrated: GOOG alone accounts for 29.1% of reported value.

Compared with Q4 2019, the fund opened 30 new positions and exited 42.

Portfolio Metrics

Turnover
+32.1%
vs prior filed quarter
Top-10 Concentration
+73.7%
share of reported value
Largest Position
+29.1%
Alphabet
New / Exited
30 / 42
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q1 ’19: $117MQ1 ’19Q2 ’19: $128MQ3 ’19: $121MQ4 ’19: $150MQ4 ’19Q1 ’20: $80MQ2 ’20: $88MQ3 ’20: $108MQ3 ’20Q4 ’20: $151MQ1 ’21: $125MQ2 ’21: $90MQ2 ’21Q3 ’21: $83MQ4 ’21: $146MQ1 ’22: $157MQ1 ’22Q2 ’22: $209MQ3 ’22: $117MQ4 ’22: $100MQ4 ’22Q1 ’23: $114MQ2 ’23: $143Mfilingsflow.com

Portfolio Composition

By security type
Common Stock: 67.3%ETP: 17.2%Closed-End Fund: 7.8%Other: 4.9%ADR: 1.7%MLP: 1.1%
  • Common Stock · 67.3% · $54M
  • ETP · 17.2% · $14M
  • Closed-End Fund · 7.8% · $6M
  • Other · 4.9% · $4M
  • ADR · 1.7% · $1M
  • MLP · 1.1% · $908,000

Quarter-over-Quarter Changes full breakdown →

vs Q4 2019 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
MSMORGAN STANLEYNEW+111.1K111.1K+$4M$4M
GLDSPDR GOLD SHARESNEW+20.2K20.2K+$3M$3M
SCHZSCHWAB US AGGREGATE BOND ETFNEW+54.5K54.5K+$3M$3M
ZIONS BANCORP NANEW+76.0K76.0K+$2M$2M
SJNKSPDR BBG BARC ST HIGH YIELDNEW+80.2K80.2K+$2M$2M
CARNIVAL PLC-ADRNEW+142.8K142.8K+$2M$2M
ROYAL DUTCH SHELL-SPON ADR-BNEW+42.6K42.6K+$1M$1M
ISHARES IBOXX HIGH YLD CORPNEW+16.7K16.7K+$1M$1M

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q1 2020

42 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1GOOGALPHABET INC-CL Chistory →CL C29.12%$23M20.1K
2LIBERTY MEDIA COR-SIRIUSXM CCOM A SIRIUSXM9.10%$7M230.7K
3GCI LIBERTY INC - CLASS ACLASS A7.12%$6M100.2K
4LIBERTY MEDIA COR-SIRIUSXM ACOM A SIRIUSXM5.94%$5M150.3K
5LEN/BLENNAR CORP CL Bhistory →CL B5.42%$4M150.1K
6MSMORGAN STANLEYhistory →COM4.71%$4M111.1K
7GLDSPDR GOLD SHAREShistory →SHS3.73%$3M20.2K
8SCHZSCHWAB US AGGREGATE BOND ETFhistory →US AGGREGATE B3.69%$3M54.5K
9ZIONS BANCORP NAPUT2.54%$2M76.0K
10SJNKSPDR BBG BARC ST HIGH YIELDhistory →BLOOMBERG SRT TR2.36%$2M80.2K
11CARNIVAL PLC-ADRADR2.12%$2M142.8K
12PCYINVESCO EMERGING MARKETS SOVhistory →EMRNG MKT SVRG1.87%$1M62.6K
13ROYAL DUTCH SHELL-SPON ADR-BSPON ADR B1.74%$1M42.6K
14ISHARES IBOXX HIGH YLD CORPETF1.61%$1M16.7K
15XTRACKERS USD HIGH YIELD CORXTRACK USD HIGH1.42%$1M25.9K
16SCHWCHARLES SCHWAB CORP-NEWhistory →COM1.28%$1M30.5K
17PAAPLAINS ALL AMER PIPELINE LPhistory →UNIT LTD PARTN1.13%$908,000172.2K
18LIBERTY TRIPADVISOR HDG-ACOM SER A1.09%$875,000486.5K
19AIGAMERICAN INTERNATIONAL GROUPhistory →W EXP 01/19/2021.09%$872,0001.09M
20BROOKFIELD PROPERTY PARTRSUNIT LTD PARTN1.03%$825,000102.4K
21QQQXNUVEEN NAS100 DYN OVERWRT FDSHS0.90%$720,00037.9K
22TFISPDR NUV BBG BARC MUNI BONDNUVEEN BRC MUNIC0.88%$709,00014.2K
23SLVISHARES SILVER TRUSTISHARES0.86%$693,00053.1K
24KIOKKR INCOME OPPORTUNITIESCOM0.83%$664,00062.3K
25EMLCVANECK JPM EM LOCAL CCY BONDJP MORGAN MKTS0.77%$620,00021.8K
26PIMCO DYNAMIC CREDIT AND MORSHS0.66%$531,00031.6K
27DSLDOUBLELINE INCOME SOLUTIONSCOM0.65%$524,00039.3K
28ARDCARES DYNAMIC CREDIT ALLOCATICOM0.63%$505,00046.9K
29BGHBARINGS GL SH DUR HI YLDCOM0.58%$467,00042.0K
30AMERICA MOVIL S A DE C VADR0.54%$431,00036.9K
31XDIAXNUVEEN DOW30 DYN OVERWRT FDSHS0.53%$424,00033.9K
32RABROOKFIELD REAL ASSETS INCOMCOM SHS BEN INT0.53%$423,00028.8K
33XSSPXNUVEEN S&P500 DYNAM OVERWRCOM0.50%$402,00034.7K
34VOYA PRIME RATE TRUSTSH BEN INT0.48%$381,000102.8K
35NUVNUVEEN MUNI VALUECOM0.47%$374,00038.3K
36SPRINT CORPCOM0.32%$258,00030.0K
37VVRINVESCO SENIOR INCOME TRUSTCOM0.32%$257,00079.9K
38PFNPIMCO FLOATING RATECOM0.31%$245,00032.4K
39INVITAE CORPCOM0.30%$241,00017.7K
40XMYDXBLACKROCK MUNIYIELD FUNDCOM0.29%$235,00018.5K
41VCVINVESCO CA V M ICOM0.29%$231,00020.5K
42BDJBLACKROCK ENHANCED EQTY DVDCOM0.26%$212,00032.5K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q2 2023$143M7Aug 17, 202313F-HRchanges · EDGAR ↗
Q1 2023$114M46May 4, 202313F-HRchanges · EDGAR ↗
Q4 2022$100M70Feb 9, 202313F-HRchanges · EDGAR ↗
Q3 2022$117M105Oct 17, 202213F-HRchanges · EDGAR ↗
Q2 2022$209M93Jul 15, 202213F-HRchanges · EDGAR ↗
Q1 2022$157M97Apr 19, 202213F-HRchanges · EDGAR ↗
Q4 2021$146M82Jan 28, 202213F-HRchanges · EDGAR ↗
Q3 2021$83M70Oct 12, 202113F-HRchanges · EDGAR ↗
Q2 2021$90M95Jul 28, 202113F-HRchanges · EDGAR ↗
Q1 2021$125M60Apr 14, 202113F-HRchanges · EDGAR ↗
Q4 2020$151M58Jan 20, 202113F-HRchanges · EDGAR ↗
Q3 2020$108M63Oct 28, 202013F-HRchanges · EDGAR ↗
Q2 2020$88M38Jul 16, 202013F-HRchanges · EDGAR ↗
Q1 2020$80M42Apr 16, 2020RESTATEMENTchanges · EDGAR ↗
Q4 2019$150M54Jan 21, 202013F-HRchanges · EDGAR ↗
Q3 2019$121M47Oct 28, 201913F-HRchanges · EDGAR ↗
Q2 2019$128M48Jul 22, 201913F-HRchanges · EDGAR ↗
Q1 2019$117M36May 20, 2019RESTATEMENTchanges · EDGAR ↗

Other Included Managers

This filing reports holdings on behalf of 2 additional managers.

  • OTA TRADING FUND 1 LLC
  • OTA LLC

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.