Filed: 5/4/2023ACC: 0001317346-23-000007
📋 What this filing means
OTA FINANCIAL GROUP L.P. filed this quarterly 13F‑HR report disclosing 46 equity positions with a total reported market value of $113.6K. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
46
Positions
$113.6K
Total AUM (reported)
4.19M
Total Shares
Allocation by class
COM$30.2K26.5%
BLOOMBERG 1-3 MO$23.9K21.0%
*W EXP 08/03/202$23.2K20.4%
CL A$11.6K10.2%
CALL$8.8K7.7%
CL C$4.3K3.8%
COM SER C$2.6K2.3%
Portfolio Concentration
Top 3$61.5K54.1%
4–10$32.6K28.7%
11–25$12.8K11.3%
Rest$6.8K5.9%
Top 3 weight
54.1%
Top 10 weight
82.8%
Voting Authority Distribution
Total shares with voting rights: 113.61K
Sole
Full voting authority
113.61K
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
Other46
Dominant voting typeSole · 100.0% of voting shares
Institutional Holdings46
Rows:
SPDR BLOOMBERG 1-3 MONTH T-B
DFNDShares260.17K
TypeSH
Market value$23.9K
21.03%
Sole
23.89K
Shared
0.00
None
0.00
OCCIDENTAL PETROLEUM CORP
DFNDShares564.88K
TypeSH
Market value$23.2K
20.38%
Sole
23.16K
Shared
0.00
None
0.00
MICROSOFT CORP
DFNDShares50K
TypeSH
Market value$14.4K
12.69%
Sole
14.41K
Shared
0.00
None
0.00
META PLATFORMS INC-CLASS A
DFNDShares50K
TypeSH
Market value$10.6K
9.33%
Sole
10.60K
Shared
0.00
None
0.00
SCILEX HOLDING CO
DFNDShares1.04M
TypeSH
Market value$8.5K
7.50%
Sole
8.52K
Shared
0.00
None
0.00
ALPHABET INC-CL C
DFNDShares37.26K
TypeSH
Market value$3.9K
3.41%
Sole
3.88K
Shared
0.00
None
0.00
YAMANA GOLD INC
DFNDShares524.47K
TypeSH
Market value$3.1K
2.70%
Sole
3.07K
Shared
0.00
None
0.00
LIBERTY BROADBAND-C
DFNDShares32.12K
TypeSH
Market value$2.6K
2.31%
Sole
2.62K
Shared
0.00
None
0.00
TORTOISE ENERGY INFRASTRUCT
DFNDShares73.23K
TypeSH
Market value$2.2K
1.90%
Sole
2.15K
Shared
0.00
None
0.00
CHARLES SCHWAB CORP-NEW
DFNDShares34.03K
TypeSH
Market value$1.8K
1.57%
Sole
1.78K
Shared
0.00
None
0.00
ISHARES 0-5 YR HY CORP BOND
DFNDShares41.59K
TypeSH
Market value$1.7K
1.53%
Sole
1.73K
Shared
0.00
None
0.00
SCHWAB US AGGREGATE BOND ETF
DFNDShares33.87K
TypeSH
Market value$1.6K
1.40%
Sole
1.59K
Shared
0.00
None
0.00
VANGUARD INT-TERM CORPORATE
DFNDShares17.58K
TypeSH
Market value$1.4K
1.24%
Sole
1.41K
Shared
0.00
None
0.00
PLAINS ALL AMER PIPELINE LP
DFNDShares110.13K
TypeSH
Market value$1.4K
1.21%
Sole
1.37K
Shared
0.00
None
0.00
EATON VANCE ENH EQT INC II
DFNDShares52.51K
TypeSH
Market value$861.00
0.76%
Sole
861.00
Shared
0.00
None
0.00
BROADMARK REALTY CAPITAL INC
DFNDShares176.63K
TypeSH
Market value$830.00
0.73%
Sole
830.00
Shared
0.00
None
0.00
ROYCE VALUE TR INC
DFNDShares54.45K
TypeSH
Market value$738.00
0.65%
Sole
738.00
Shared
0.00
None
0.00
ISHARES 1-5Y INV GRADE CORP
DFNDShares12.11K
TypeSH
Market value$612.00
0.54%
Sole
612.00
Shared
0.00
None
0.00
FIRST TRUST MLP AND ENERGY I
DFNDShares79.88K
TypeSH
Market value$610.00
0.54%
Sole
610.00
Shared
0.00
None
0.00
BROOKFIELD RENEWABLE PARTNER
DFNDShares18.09K
TypeSH
Market value$570.00
0.50%
Sole
570.00
Shared
0.00
None
0.00
KAYNE ANDERSON ENERGY INFRAS
DFNDShares62.56K
TypeSH
Market value$540.00
0.48%
Sole
540.00
Shared
0.00
None
0.00
BANNER ACQUISITION CORP
DFNDShares50.19K
TypeSH
Market value$513.00
0.45%
Sole
513.00
Shared
0.00
None
0.00
SPDR PORTFOLIO AGGREGATE BON
DFNDShares19.11K
TypeSH
Market value$492.00
0.43%
Sole
492.00
Shared
0.00
None
0.00
SPORTSMAP TECH ACQUISITION C
DFNDShares46.02K
TypeSH
Market value$478.00
0.42%
Sole
478.00
Shared
0.00
None
0.00
TEMPLETON DRAGON FUND INC
DFNDShares41.08K
TypeSH
Market value$435.00
0.38%
Sole
435.00
Shared
0.00
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR BLOOMBERG 1-3 MONTH T-BDFND | BLOOMBERG 1-3 MO | 260.17K | SH | $23.9K 21.03% | 23.89K | 0.00 | 0.00 |
OCCIDENTAL PETROLEUM CORPDFND | *W EXP 08/03/202 | 564.88K | SH | $23.2K 20.38% | 23.16K | 0.00 | 0.00 |
MICROSOFT CORPDFND | COM | 50K | SH | $14.4K 12.69% | 14.41K | 0.00 | 0.00 |
META PLATFORMS INC-CLASS ADFND | CL A | 50K | SH | $10.6K 9.33% | 10.60K | 0.00 | 0.00 |
SCILEX HOLDING CODFND | CALL | 1.04M | SH | $8.5K 7.50% | 8.52K | 0.00 | 0.00 |
ALPHABET INC-CL CDFND | CL C | 37.26K | SH | $3.9K 3.41% | 3.88K | 0.00 | 0.00 |
YAMANA GOLD INCDFND | COM | 524.47K | SH | $3.1K 2.70% | 3.07K | 0.00 | 0.00 |
LIBERTY BROADBAND-CDFND | COM SER C | 32.12K | SH | $2.6K 2.31% | 2.62K | 0.00 | 0.00 |
TORTOISE ENERGY INFRASTRUCTDFND | COM | 73.23K | SH | $2.2K 1.90% | 2.15K | 0.00 | 0.00 |
CHARLES SCHWAB CORP-NEWDFND | COM | 34.03K | SH | $1.8K 1.57% | 1.78K | 0.00 | 0.00 |
ISHARES 0-5 YR HY CORP BONDDFND | 0-5YR HI YL CP | 41.59K | SH | $1.7K 1.53% | 1.73K | 0.00 | 0.00 |
SCHWAB US AGGREGATE BOND ETFDFND | US AGGREGATE B | 33.87K | SH | $1.6K 1.40% | 1.59K | 0.00 | 0.00 |
VANGUARD INT-TERM CORPORATEDFND | INT-TERM CORP | 17.58K | SH | $1.4K 1.24% | 1.41K | 0.00 | 0.00 |
PLAINS ALL AMER PIPELINE LPDFND | UNIT LTD PARTN | 110.13K | SH | $1.4K 1.21% | 1.37K | 0.00 | 0.00 |
EATON VANCE ENH EQT INC IIDFND | COM | 52.51K | SH | $861.00 0.76% | 861.00 | 0.00 | 0.00 |
BROADMARK REALTY CAPITAL INCDFND | COM | 176.63K | SH | $830.00 0.73% | 830.00 | 0.00 | 0.00 |
ROYCE VALUE TR INCDFND | COM | 54.45K | SH | $738.00 0.65% | 738.00 | 0.00 | 0.00 |
ISHARES 1-5Y INV GRADE CORPDFND | ISHRS 1-5YR INVS | 12.11K | SH | $612.00 0.54% | 612.00 | 0.00 | 0.00 |
FIRST TRUST MLP AND ENERGY IDFND | COM | 79.88K | SH | $610.00 0.54% | 610.00 | 0.00 | 0.00 |
BROOKFIELD RENEWABLE PARTNERDFND | PARTNERSHIP UNIT | 18.09K | SH | $570.00 0.50% | 570.00 | 0.00 | 0.00 |
KAYNE ANDERSON ENERGY INFRASDFND | COM | 62.56K | SH | $540.00 0.48% | 540.00 | 0.00 | 0.00 |
BANNER ACQUISITION CORPDFND | COM | 50.19K | SH | $513.00 0.45% | 513.00 | 0.00 | 0.00 |
SPDR PORTFOLIO AGGREGATE BONDFND | PORTFOLIO AGRGTE | 19.11K | SH | $492.00 0.43% | 492.00 | 0.00 | 0.00 |
SPORTSMAP TECH ACQUISITION CDFND | COM | 46.02K | SH | $478.00 0.42% | 478.00 | 0.00 | 0.00 |
TEMPLETON DRAGON FUND INCDFND | COM | 41.08K | SH | $435.00 0.38% | 435.00 | 0.00 | 0.00 |
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