Managers / Q4 2022 · view latest →

OTA Financial Group L.P.

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

Reported Value

$100M

Q4 2022

Positions

Filings on Record

2019–present window

Filed

Feb 9, 2023

original filing

Summary

Ota Financial Group L.P. reported $100M in U.S.-listed holdings across 70 positions for Q4 2022.

The portfolio is heavily concentrated: OXY/WS alone accounts for 24.4% of reported value.

Compared with Q3 2022, the fund opened 34 new positions and exited 69.

Portfolio Metrics

Turnover

+42.6%

vs prior filed quarter

Top-10 Concentration

+71.4%

share of reported value

Largest Position

+24.4%

Occidental Petroleum

New / Exited

34 / 69

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

Portfolio Composition

By security type

Closed-End Fund · 27.9% · $28M
Equity WRT · 25.1% · $25M
Common Stock · 21.8% · $22M
Other · 11.4% · $11M
ETP · 6.6% · $7M
Other · 7.2% · $7M

Quarter-over-Quarter Changes full breakdown →

vs Q3 2022 (amended baseline)

Issuer	Move	Share Δ	Shares now	Value Δ	Value now
AGG ISHARES CORE U.S. AGGREGATE	NEW	+46.1K	46.1K	+$4M	$4M
KYN KAYNE ANDERSON ENERGY INFRAS	NEW	+167.0K	167.0K	+$1M	$1M
NBXG NBRGR BRMN NEX GEN CONNECT	NEW	+139.3K	139.3K	+$1M	$1M
KAYNE ANDERSON NEXTGEN ENERG	NEW	+153.6K	153.6K	+$1M	$1M
BROOKFIELD REINSURANCE LTD	NEW	+36.8K	36.8K	+$1M	$1M
PAA PLAINS ALL AMER PIPELINE LP	NEW	+91.8K	91.8K	+$1M	$1M
GOOGL ALPHABET INC-CL A	NEW	+11.9K	11.9K	+$1M	$1M
VCIT VANGUARD INT-TERM CORPORATE	NEW	+13.1K	13.1K	+$1M	$1M

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

Holdings — Q4 2022

70 positions

Export to Excel

#	Issuer	Class	% Portfolio	Value ↓	Shares
1	OXY/WS OCCIDENTAL PETROLEUM CORP history →	W EXP 08/03/202	24.44%	$25M	594.4K
2	SPROTT PHYSICAL GOLD TRUST	UNIT	12.56%	$13M	893.0K
3	BTX BLACKROCK INNOV & GROW TR history →	SHS BEN INT	8.67%	$9M	1.28M
4	SOUTH JERSEY INDUSTRIES	UNIT 04/01/2024	6.13%	$6M	89.1K
5	LBRDK LIBERTY BROADBAND-C history →	COM SER C	5.86%	$6M	77.0K
6	AGG ISHARES CORE U.S. AGGREGATE history →	ET	4.46%	$4M	46.1K
7	TYG TORTOISE ENERGY INFRASTRUCT history →	COM	4.31%	$4M	136.0K
8	NTG TORTOISE MIDSTREAM ENERGY history →	COM	2.16%	$2M	62.5K
9	KYN KAYNE ANDERSON ENERGY INFRAS history →	COM	1.42%	$1M	167.0K
10	ECAT BLACKROCK ESG CAPITAL ALLOC history →	SHS BEN INT	1.36%	$1M	101.6K
11	NBXG NBRGR BRMN NEX GEN CONNECT history →	COMMON STOCK	1.26%	$1M	139.3K
12	KAYNE ANDERSON NEXTGEN ENERG	COM	1.15%	$1M	153.6K
13	BROOKFIELD REINSURANCE LTD	CL A EXCH LT VTG	1.15%	$1M	36.8K
14	SCHZ SCHWAB US AGGREGATE BOND ETF history →	US AGGREGATE B	1.14%	$1M	25.0K
15	PAA PLAINS ALL AMER PIPELINE LP history →	UNIT LTD PARTN	1.08%	$1M	91.8K
16	GOOGL ALPHABET INC-CL A history →	CL A	1.05%	$1M	11.9K
17	VCIT VANGUARD INT-TERM CORPORATE history →	INT-TERM CORP	1.01%	$1M	13.1K
18	MUC BLACKROCK MUNIHOLDINGS CA QU	COM	0.96%	$962,000	89.6K
19	XMUIX BLACKROCK MUNICIPAL INCOME	COM	0.86%	$864,000	76.3K
20	BMEZ BLACKROCK HEALTH SCI TR II	SHS	0.70%	$701,000	45.4K
21	BCAT BLACKROCK CAPITAL ALLOCATION	COM	0.69%	$691,000	49.8K
22	COLOMBIER ACQUISITION CORP-A	CL A	0.68%	$685,000	69.0K
23	HTZWW HERTZ GLOBAL HLDGS INC	W EXP 06/30/205	0.65%	$649,000	87.2K
24	GOLDMAN SACHS MLP & ENERGY R	COM	0.61%	$616,000	48.3K
25	XBFZX BLACKROCK CAL MUN TR SBI	SH BEN INT	0.60%	$602,000	55.6K
26	AFB ALLIANCE NATIONAL MUNI INC	COM	0.60%	$600,000	57.3K
27	ADARA ACQUISITION CORP-CL A	CL A	0.56%	$563,000	55.4K
28	BGR BLACKROCK ENRGY & RES	COM	0.56%	$561,000	44.8K
29	FAST ACQUISITION CORP II-A	CL A	0.51%	$516,000	51.6K
30	BANNER ACQUISITION CORP	COM	0.50%	$505,000	50.2K
31	XMIOX PIONEER MUNI HIGH INC OPP	COMMON STOCK	0.49%	$492,000	46.2K
32	SPORTSMAP TECH ACQUISITION C	COM	0.47%	$470,000	46.0K
33	DSM BNYM STRAT MUNI BND	COM	0.46%	$461,000	79.8K
34	CLEARBRIDGE MLP & MIDSTREAM	COM	0.44%	$441,000	15.6K
35	FIRST TRUST MLP AND ENERGY I	COM	0.43%	$430,000	55.1K
36	FIRST RESERVE SUSTAINABLE-A	COM	0.41%	$408,000	40.6K
37	TG VENTURE ACQUISITION CORP	COM	0.40%	$404,000	39.8K
38	INTE INTEGRAL ACQUISITION CORP-A	COM	0.40%	$397,000	39.3K
39	ZG ZILLOW GROUP INC - A	CL A	0.37%	$368,000	11.8K
40	UAA UNDER ARMOUR INC-CLASS A	CL A	0.36%	$366,000	36.1K
41	RF ACQUISITION CORP - CL A	COM	0.35%	$353,000	35.0K
42	EG ACQUISITION CORP-A	CL A	0.35%	$349,000	35.1K
43	PEO ADAMS NATURAL RESOURCES FUND	COM	0.34%	$344,000	15.8K
44	NBST NEWBURY STREET ACQUISITION C	COM	0.34%	$340,000	34.0K
45	FIRST TRUST ENERGY INFRASTRU	COM	0.33%	$334,000	23.2K
46	WELSBACH TECHNOLOGY METALS	COM	0.33%	$332,000	32.6K
47	IIM INVESCO VALUE MUNICIPAL INCO	COM	0.32%	$320,000	26.6K
48	WESTERN ASSET MUNICIPAL PART	COM	0.31%	$308,000	26.5K
49	FG MERGER CORP	COMMON STOCK	0.30%	$304,000	28.4K
50	TWELVE SEAS INVTMNT CO II -A	CL A	0.30%	$299,000	29.7K
51	PML PIMCO MUNI INCOME FD II	COM	0.29%	$295,000	32.7K
52	ATLANTIC COASTAL ACQUISITI-A	COM	0.29%	$286,000	28.6K
53	BANNIX ACQUISITION CORP	COM	0.29%	$286,000	28.2K
54	SPROTT PHYSICAL SILVER TRUST	UNIT	0.27%	$275,000	33.4K
55	JFR NUVEEN FLOAT RATE INC FD	COM	0.26%	$260,000	32.9K
56	AMERICA MOVIL S A DE C V	ADR	0.26%	$256,000	14.3K
57	BLACKROCK MUNIHOLDINGS NY QU	COM	0.25%	$254,000	24.8K
58	MPA BLACKROCK MUNIYIELD PENNSYLV	COM	0.25%	$252,000	22.9K
59	VPV INVESCO PA VAL MUNI INC	COM	0.25%	$248,000	25.4K
60	KADEM SUSTAINABLE IMPAC-CL A	COM	0.24%	$241,000	24.0K
61	NAD NUVEEN DIV ADV MUNI	COM	0.24%	$240,000	20.4K
62	DIAMONDHEAD HOLDINGS CORP-A	CL A	0.24%	$240,000	23.9K
63	INSIGHT ACQUISITION CORP-A	CL A	0.23%	$226,000	22.5K
64	TDF TEMPLETON DRAGON FUND INC	COM	0.22%	$225,000	22.1K
65	PFN PIMCO FLOATING RATE	COM	0.21%	$213,000	30.1K
66	BGB BLACKSTONE STRATEGIC CREDIT	COM SHS BEN IN	0.21%	$213,000	20.2K
67	M3-BRIGADE ACQUISITION II-A	CL A	0.21%	$210,000	21.0K
68	GENIUS SPORTS LTD	W EXP 04/20/202	0.21%	$207,000	231.0K
69	RA BROOKFIELD REAL ASSETS INCOM	SHS BEN INT	0.20%	$204,000	12.6K
70	BURTECH ACQUISITION CORP-A	COM	0.20%	$200,000	19.7K

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 ↗
Q4 2018	$213M	62	Jan 24, 2019	13F-HR	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 ↗.