Filed: 2/9/2023ACC: 0001317346-23-000003
📋 What this filing means
OTA FINANCIAL GROUP L.P. filed this quarterly 13F‑HR report disclosing 70 equity positions with a total reported market value of $100.3K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
70
Positions
$100.3K
Total AUM (reported)
6.08M
Total Shares
Allocation by class
W EXP 08/03/202$24.5K24.4%
COM$22.2K22.1%
UNIT$12.9K12.8%
SHS BEN INT$10.3K10.2%
UNIT 04/01/2024$6.2K6.1%
COM SER C$5.9K5.9%
CL A$4.9K4.9%
Portfolio Concentration
Top 3$45.8K45.7%
4–10$25.8K25.7%
11–25$13.6K13.6%
Rest$15.1K15.1%
Top 3 weight
45.7%
Top 10 weight
71.4%
Voting Authority Distribution
Total shares with voting rights: 100.28K
Sole
Full voting authority
100.28K
shares
% of voting shares100.0%
Shared
Joint voting authority
0.00
shares
% of voting shares0.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole0
Shared0
Other70
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings70
Rows:
OCCIDENTAL PETROLEUM CORP
DFNDShares594.43K
TypeSH
Market value$24.5K
24.44%
Sole
24.51K
Shared
0.00
None
0.00
SPROTT PHYSICAL GOLD TRUST
DFNDShares892.99K
TypeSH
Market value$12.6K
12.56%
Sole
12.59K
Shared
0.00
None
0.00
BLACKROCK INNOV & GROW TR
DFNDShares1.28M
TypeSH
Market value$8.7K
8.67%
Sole
8.69K
Shared
0.00
None
0.00
SOUTH JERSEY INDUSTRIES
DFNDShares89.12K
TypeSH
Market value$6.2K
6.13%
Sole
6.15K
Shared
0.00
None
0.00
LIBERTY BROADBAND-C
DFNDShares77K
TypeSH
Market value$5.9K
5.86%
Sole
5.87K
Shared
0.00
None
0.00
ISHARES CORE U.S. AGGREGATE
DFNDShares46.07K
TypeSH
Market value$4.5K
4.46%
Sole
4.47K
Shared
0.00
None
0.00
TORTOISE ENERGY INFRASTRUCT
DFNDShares136.04K
TypeSH
Market value$4.3K
4.31%
Sole
4.32K
Shared
0.00
None
0.00
TORTOISE MIDSTREAM ENERGY
DFNDShares62.54K
TypeSH
Market value$2.2K
2.16%
Sole
2.16K
Shared
0.00
None
0.00
KAYNE ANDERSON ENERGY INFRAS
DFNDShares167.01K
TypeSH
Market value$1.4K
1.42%
Sole
1.43K
Shared
0.00
None
0.00
BLACKROCK ESG CAPITAL ALLOC
DFNDShares101.56K
TypeSH
Market value$1.4K
1.36%
Sole
1.36K
Shared
0.00
None
0.00
NBRGR BRMN NEX GEN CONNECT
DFNDShares139.34K
TypeSH
Market value$1.3K
1.26%
Sole
1.27K
Shared
0.00
None
0.00
KAYNE ANDERSON NEXTGEN ENERG
DFNDShares153.56K
TypeSH
Market value$1.2K
1.15%
Sole
1.15K
Shared
0.00
None
0.00
BROOKFIELD REINSURANCE LTD
DFNDShares36.76K
TypeSH
Market value$1.1K
1.15%
Sole
1.15K
Shared
0.00
None
0.00
SCHWAB US AGGREGATE BOND ETF
DFNDShares25.01K
TypeSH
Market value$1.1K
1.14%
Sole
1.14K
Shared
0.00
None
0.00
PLAINS ALL AMER PIPELINE LP
DFNDShares91.79K
TypeSH
Market value$1.1K
1.08%
Sole
1.08K
Shared
0.00
None
0.00
ALPHABET INC-CL A
DFNDShares11.94K
TypeSH
Market value$1.1K
1.05%
Sole
1.05K
Shared
0.00
None
0.00
VANGUARD INT-TERM CORPORATE
DFNDShares13.10K
TypeSH
Market value$1.0K
1.01%
Sole
1.01K
Shared
0.00
None
0.00
BLACKROCK MUNIHOLDINGS CA QU
DFNDShares89.64K
TypeSH
Market value$962.00
0.96%
Sole
962.00
Shared
0.00
None
0.00
BLACKROCK MUNICIPAL INCOME
DFNDShares76.34K
TypeSH
Market value$864.00
0.86%
Sole
864.00
Shared
0.00
None
0.00
BLACKROCK HEALTH SCI TR II
DFNDShares45.43K
TypeSH
Market value$701.00
0.70%
Sole
701.00
Shared
0.00
None
0.00
BLACKROCK CAPITAL ALLOCATION
DFNDShares49.83K
TypeSH
Market value$691.00
0.69%
Sole
691.00
Shared
0.00
None
0.00
COLOMBIER ACQUISITION CORP-A
DFNDShares69.01K
TypeSH
Market value$685.00
0.68%
Sole
685.00
Shared
0.00
None
0.00
HERTZ GLOBAL HLDGS INC
DFNDShares87.15K
TypeSH
Market value$649.00
0.65%
Sole
649.00
Shared
0.00
None
0.00
GOLDMAN SACHS MLP & ENERGY R
DFNDShares48.27K
TypeSH
Market value$616.00
0.61%
Sole
616.00
Shared
0.00
None
0.00
BLACKROCK CAL MUN TR SBI
DFNDShares55.64K
TypeSH
Market value$602.00
0.60%
Sole
602.00
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
OCCIDENTAL PETROLEUM CORPDFND | W EXP 08/03/202 | 594.43K | SH | $24.5K 24.44% | 24.51K | 0.00 | 0.00 |
SPROTT PHYSICAL GOLD TRUSTDFND | UNIT | 892.99K | SH | $12.6K 12.56% | 12.59K | 0.00 | 0.00 |
BLACKROCK INNOV & GROW TRDFND | SHS BEN INT | 1.28M | SH | $8.7K 8.67% | 8.69K | 0.00 | 0.00 |
SOUTH JERSEY INDUSTRIESDFND | UNIT 04/01/2024 | 89.12K | SH | $6.2K 6.13% | 6.15K | 0.00 | 0.00 |
LIBERTY BROADBAND-CDFND | COM SER C | 77K | SH | $5.9K 5.86% | 5.87K | 0.00 | 0.00 |
ISHARES CORE U.S. AGGREGATEDFND | ET | 46.07K | SH | $4.5K 4.46% | 4.47K | 0.00 | 0.00 |
TORTOISE ENERGY INFRASTRUCTDFND | COM | 136.04K | SH | $4.3K 4.31% | 4.32K | 0.00 | 0.00 |
TORTOISE MIDSTREAM ENERGYDFND | COM | 62.54K | SH | $2.2K 2.16% | 2.16K | 0.00 | 0.00 |
KAYNE ANDERSON ENERGY INFRASDFND | COM | 167.01K | SH | $1.4K 1.42% | 1.43K | 0.00 | 0.00 |
BLACKROCK ESG CAPITAL ALLOCDFND | SHS BEN INT | 101.56K | SH | $1.4K 1.36% | 1.36K | 0.00 | 0.00 |
NBRGR BRMN NEX GEN CONNECTDFND | COMMON STOCK | 139.34K | SH | $1.3K 1.26% | 1.27K | 0.00 | 0.00 |
KAYNE ANDERSON NEXTGEN ENERGDFND | COM | 153.56K | SH | $1.2K 1.15% | 1.15K | 0.00 | 0.00 |
BROOKFIELD REINSURANCE LTDDFND | CL A EXCH LT VTG | 36.76K | SH | $1.1K 1.15% | 1.15K | 0.00 | 0.00 |
SCHWAB US AGGREGATE BOND ETFDFND | US AGGREGATE B | 25.01K | SH | $1.1K 1.14% | 1.14K | 0.00 | 0.00 |
PLAINS ALL AMER PIPELINE LPDFND | UNIT LTD PARTN | 91.79K | SH | $1.1K 1.08% | 1.08K | 0.00 | 0.00 |
ALPHABET INC-CL ADFND | CL A | 11.94K | SH | $1.1K 1.05% | 1.05K | 0.00 | 0.00 |
VANGUARD INT-TERM CORPORATEDFND | INT-TERM CORP | 13.10K | SH | $1.0K 1.01% | 1.01K | 0.00 | 0.00 |
BLACKROCK MUNIHOLDINGS CA QUDFND | COM | 89.64K | SH | $962.00 0.96% | 962.00 | 0.00 | 0.00 |
BLACKROCK MUNICIPAL INCOMEDFND | COM | 76.34K | SH | $864.00 0.86% | 864.00 | 0.00 | 0.00 |
BLACKROCK HEALTH SCI TR IIDFND | SHS | 45.43K | SH | $701.00 0.70% | 701.00 | 0.00 | 0.00 |
BLACKROCK CAPITAL ALLOCATIONDFND | COM | 49.83K | SH | $691.00 0.69% | 691.00 | 0.00 | 0.00 |
COLOMBIER ACQUISITION CORP-ADFND | CL A | 69.01K | SH | $685.00 0.68% | 685.00 | 0.00 | 0.00 |
HERTZ GLOBAL HLDGS INCDFND | W EXP 06/30/205 | 87.15K | SH | $649.00 0.65% | 649.00 | 0.00 | 0.00 |
GOLDMAN SACHS MLP & ENERGY RDFND | COM | 48.27K | SH | $616.00 0.61% | 616.00 | 0.00 | 0.00 |
BLACKROCK CAL MUN TR SBIDFND | SH BEN INT | 55.64K | SH | $602.00 0.60% | 602.00 | 0.00 | 0.00 |
Page 1 of 3