SEC 13F Intelligence

Managers / Q2 2020 · view latest →

OTA Financial Group L.P.

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

Reported Value
$88M
Q2 2020
Positions
38
Filings on Record
20
2019–present window
Filed
Jul 16, 2020
original filing

Summary

Ota Financial Group L.P. reported $88M in U.S.-listed holdings across 38 positions for Q2 2020.

Its largest position, VCIT, represents 12.6% of the portfolio.

Compared with Q1 2020, the fund opened 22 new positions and exited 26.

Portfolio Metrics

Turnover
+66.3%
vs prior filed quarter
Top-10 Concentration
+71.4%
share of reported value
Largest Position
+12.6%
Vanguard Int Term Corporate
New / Exited
22 / 26
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: 45.1%ETP: 41.5%Other: 4.6%Ltd Part: 3.5%Closed-End Fund: 3.5%Other: 1.6%
  • Common Stock · 45.1% · $40M
  • ETP · 41.5% · $37M
  • Other · 4.6% · $4M
  • Ltd Part · 3.5% · $3M
  • Closed-End Fund · 3.5% · $3M
  • Other · 1.6% · $1M

Quarter-over-Quarter Changes full breakdown →

vs Q1 2020 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
VCITVANGUARD INT-TERM CORPORATENEW+116.7K116.7K+$11M$11M
AGGISHARES CORE U.S. AGGREGATENEW+91.2K91.2K+$11M$11M
SPROTT PHYSICAL SILVER TRUSTNEW+983.9K983.9K+$7M$7M
SPROTT PHYSICAL GOLD TRUSTNEW+393.1K393.1K+$6M$6M
LBRDKLIBERTY BROADBAND-CNEW+41.6K41.6K+$5M$5M
PAGPPLAINS GP HOLDINGS LP-CL ANEW+350.5K350.5K+$3M$3M
NIKOLA CORPNEW+45.0K45.0K+$3M$3M
SPDR BBG BARC HIGH YIELD BNDNEW+25.4K25.4K+$3M$3M

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

Holdings — Q2 2020

38 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1VCITVANGUARD INT-TERM CORPORATEhistory →INT-TERM CORP12.58%$11M116.7K
2AGGISHARES CORE U.S. AGGREGATEhistory →CORE US AGGBD ET12.21%$11M91.2K
3LEN/BLENNAR CORP CL Bhistory →CL B10.90%$10M208.9K
4SPROTT PHYSICAL SILVER TRUSTUNIT7.37%$7M983.9K
5SPROTT PHYSICAL GOLD TRUSTUNIT6.37%$6M393.1K
6LBRDKLIBERTY BROADBAND-Chistory →COM SER C5.84%$5M41.6K
7LIBERTY MEDIA COR-SIRIUSXM ACOM A SIRIUSXM5.39%$5M137.9K
8LIBERTY MEDIA COR-SIRIUSXM CCOM C SIRIUSXM3.81%$3M97.7K
9PAGPPLAINS GP HOLDINGS LP-CL Ahistory →LTD PARTNR INT A3.53%$3M350.5K
10NIKOLA CORPPUT3.44%$3M45.0K
11SPDR BBG BARC HIGH YIELD BNDBLOOMBERG BRCLYS2.91%$3M25.4K
12SCHZSCHWAB US AGGREGATE BOND ETFhistory →US AGGREGATE B2.89%$3M45.4K
13TFISPDR NUV BBG BARC MUNI BONDhistory →NUVEEN BRC MUNIC2.57%$2M43.9K
14XTRACKERS USD HIGH YIELD CORXTRACK USD HIGH2.28%$2M43.0K
15SJNKSPDR BBG BARC ST HIGH YIELDhistory →BLOOMBERG SRT TR1.61%$1M56.5K
16IGSBISHARES SHORT-TERM CORPORATEhistory →ETF1.47%$1M23.7K
17GCI LIBERTY INC - CLASS ACLASS A1.43%$1M17.8K
18ROYAL DUTCH SHELL-SPON ADR-BSPON ADR B1.03%$908,00029.8K
19XSSPXNUVEEN S&P500 DYNAM OVERWRCOM0.98%$869,00067.7K
20PCYINVESCO EMERGING MARKETS SOVTR II EMRNG MKT SVRG0.97%$859,00032.1K
21AIGAMERICAN INTERNATIONAL GROUPW EXP 01/19/2020.97%$852,000609.1K
22CARNIVAL PLC-ADRADR0.95%$843,00067.1K
23SPSBSPDR PORT SHRT TRM CORP BNDPORTFOLIO SHORT0.95%$842,00026.9K
24AMTTD AMERITRADE HOLDING CORPCOM0.88%$774,00021.3K
25USHYISHARES BROAD USD HIGH YIELDBROAD USD HIGH0.84%$741,00019.4K
26PPTPUTNAM PREMIER INCOME TRUSTSH BEN INT0.83%$734,000155.0K
27XBXMXNUVEEN EQTY PREM INCM FDCOM0.63%$560,00050.9K
28T-MOBILE US INC - RIGHTSRIGHT 07/27/20200.59%$518,0003.09M
29HFROHIGHLAND INCOME FUNDHIGHLAND INCOME0.54%$480,00059.7K
30HOSTESS BRANDS INCW EXP 11/04/2020.52%$456,000530.9K
31LIBERTY TRIPADVISOR HDG-ACOM SER A0.48%$428,000201.0K
32INVITAE CORPCOM0.44%$390,00012.9K
33DRAFTKINGS INC - CL AW EXP 06/30/2020.37%$325,00021.3K
34DELPHI TECHNOLOGIES PLCSHS0.32%$281,00019.8K
35NAVBQNAVIDEA BIOPHARMACEUTICALS ICOM0.29%$258,00065.6K
36XJQCXNUVEEN CREDIT STRAT INCMSHS0.28%$243,00041.7K
37EIDOISHARES MSCI INDONESIA ETFETF0.27%$240,00013.4K
38XDIAXNUVEEN DOW30 DYN OVERWRT FDSHS0.26%$230,00017.0K

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 LLC028-11280
  • OTA TRADING FUND 1 LLC028-12833

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 ↗.