Managers / Q1 2021 · view latest →
OTA Financial Group L.P.
CIK 0001317346 · 1 MANHATTANVILLE ROAD, PURCHASE, NY, 10577 · 914-694-5800
Summary
Ota Financial Group L.P. reported $125M in U.S.-listed holdings across 60 positions for Q1 2021.
The portfolio is heavily concentrated: GOOG alone accounts for 31.0% of reported value.
Compared with Q4 2020, the fund opened 40 new positions and exited 38.
Portfolio Metrics
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
Portfolio Composition
- Common Stock · 59.5% · $74M
- Other · 16.8% · $21M
- ETP · 9.2% · $11M
- MLP · 5.0% · $6M
- Closed-End Fund · 4.8% · $6M
- Other · 4.7% · $6M
Quarter-over-Quarter Changes full breakdown →
vs Q4 2020 (amended baseline)
| Issuer | Move | Share Δ | Shares now | Value Δ | Value now |
|---|---|---|---|---|---|
| SPROTT PHYSICAL GOLD TRUST | NEW | +741.7K | 741.7K | +$10M | $10M |
| BNDVANGUARD TOTAL BOND MARKET | NEW | +88.2K | 88.2K | +$7M | $7M |
| PAAPLAINS ALL AMER PIPELINE LP | NEW | +399.0K | 399.0K | +$4M | $4M |
| APOLLO GLOBAL MANAGEMENT INC | NEW | +57.5K | 57.5K | +$3M | $3M |
| NOBLE MIDSTREAM PARTNERS LP | NEW | +181.9K | 181.9K | +$3M | $3M |
| INVITAE CORP | NEW | +62.5K | 62.5K | +$2M | $2M |
| FOREST ROAD ACQUISITION-CL A | NEW | +233.0K | 233.0K | +$2M | $2M |
| ALTITUDE ACQUISITION CORP-A | NEW | +216.0K | 216.0K | +$2M | $2M |
Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.
Holdings — Q1 2021
Filing History
| Quarter | Reported Value | Positions | Filed | Type | Links |
|---|---|---|---|---|---|
| Q2 2023 | $143M | 7 | Aug 17, 2023 | 13F-HR | changes · EDGAR ↗ |
| Q1 2023 | $114M | 46 | May 4, 2023 | 13F-HR | changes · EDGAR ↗ |
| Q4 2022 | $100M | 70 | Feb 9, 2023 | 13F-HR | changes · EDGAR ↗ |
| Q3 2022 | $117M | 105 | Oct 17, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q2 2022 | $209M | 93 | Jul 15, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q1 2022 | $157M | 97 | Apr 19, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q4 2021 | $146M | 82 | Jan 28, 2022 | 13F-HR | changes · EDGAR ↗ |
| Q3 2021 | $83M | 70 | Oct 12, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q2 2021 | $90M | 95 | Jul 28, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q1 2021 | $125M | 60 | Apr 14, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q4 2020 | $151M | 58 | Jan 20, 2021 | 13F-HR | changes · EDGAR ↗ |
| Q3 2020 | $108M | 63 | Oct 28, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q2 2020 | $88M | 38 | Jul 16, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q1 2020 | $80M | 42 | Apr 16, 2020 | RESTATEMENT | changes · EDGAR ↗ |
| Q4 2019 | $150M | 54 | Jan 21, 2020 | 13F-HR | changes · EDGAR ↗ |
| Q3 2019 | $121M | 47 | Oct 28, 2019 | 13F-HR | changes · EDGAR ↗ |
| Q2 2019 | $128M | 48 | Jul 22, 2019 | 13F-HR | changes · EDGAR ↗ |
| Q1 2019 | $117M | 36 | May 20, 2019 | RESTATEMENT | changes · 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 ↗.