CIK: 0001540138
Total reported value
$86.5M
Reporting period: 2017-09-30 · Number of holdings: 119
Smith Affiliated Capital Corp. disclosed 119 holdings in its latest 13F filing for the period ending 2017-09-30, with total reported value of $86.5M and a quarterly turnover rate of 15.4%.
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Smith Affiliated Capital Corp.'s disclosed holdings carry a Herfindahl concentration index of 0.453 — mathematically equivalent to about 2 equally-sized positions, well below its 119 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 7.30), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 3% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Trim IWB
-88.9% -$1.2M
Add ETR 4.9 10-01-66
+49.6% $483.8K
Add JPM V0 PERP Q
+62.5% $262.6K
Trim PHYS
-6.4% -$125.9K
Trim GLD
-76.8% -$163.7K
Add NRUC V5.25 04-20-46
+18.4% $169.8K
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | URNM | Sprott Uranium Miners ETF | ETF-Other | 67.00% | +0.14% | -0.24% | |
| 2 | PHYS | Sprott Physical Gold Trust | Stock-Other | 4.02% | -0.24% | -6.36% | |
| 3 | EPD V5.25 08-16-77 E | Enterprise Products Oper | Stock-Energy | 2.23% | +2.23% | NEW | |
| 4 | ETR 4.9 10-01-66 | Entergy Mississippi LLC | Stock-Utilities | 1.60% | +0.53% | +49.60% | |
| 5 | USB V5.3 PERP J | US Bancorp | Stock-Financials | 1.54% | — | — | |
| 6 | PSA 5.05 PERP G | Public Storage | Stock-Real Estate | 1.34% | +1.34% | NEW | |
| 7 | TRPCN V5.3 03-15-77 | Transcanada Trust | Stock-Other | 1.26% | +0.06% | +7.59% | |
| 8 | NRUC V5.25 04-20-46 | National Rural Util Coop | Stock-Other | 1.19% | +0.18% | +18.40% | |
| 9 | D V0 10-01-54 . | Dominion Energy INC | Stock-Utilities | 1.10% | — | — | |
| 10 | PRU V5.2 03-15-44 | Prudential Financial INC | Stock-Financials | 1.04% | — | — | |
| 11 | EIX 5 PERP | Sce Trust Vi | Stock-Utilities | 0.97% | +0.97% | NEW | |
| 12 | NTRS V4.6 PERP D | Northern Trust CORP | Stock-Financials | 0.89% | — | — | |
| 13 | JPM V0 PERP Q | Jpmorgan Chase & Co | Stock-Financials | 0.78% | +0.29% | +62.50% | |
| 14 | SCHW V0 PERP E | Charles Schwab CORP | Stock-Financials | 0.71% | — | — | |
| 15 | JPM V0 PERP I | Jpmorgan Chase & Co | Stock-Financials | 0.66% | -0.14% | -15.38% | |
| 16 | BNSF V6.613 12-15-55 | Bnsf Funding Trust I | Stock-Other | 0.65% | — | — | |
| 17 | AXP V0 PERP B | American Express Co | Stock-Financials | 0.65% | — | — | |
| 18 | ALL V0 08-15-53 B | Allstate CORP | Stock-Financials | 0.63% | — | — | |
| 19 | D 5.25 07-30-76 A | Dominion Energy INC | Stock-Utilities | 0.61% | +0.07% | +13.81% | |
| 20 | EIX V5.45 PERP K | Sce Trust V | Stock-Utilities | 0.61% | -0.15% | -14.80% | |
| 21 | STT V0 PERP F | State Street CORP | Stock-Financials | 0.61% | — | — | |
| 22 | BNY V3.64738 PERP E | Bank Of Ny Mellon CORP | Stock-Financials | 0.60% | — | — | |
| 23 | CB V0 04-15-37 | Chubb CORP | Stock-Financials | 0.57% | -0.06% | -7.48% | |
| 24 | BNY V4.625 PERP F | Bank Of Ny Mellon CORP | Stock-Financials | 0.47% | +0.47% | NEW | |
| 25 | SO 5.25 10-01-76 | Southern Co | Stock-Utilities | 0.29% | +0.30% | NEW | |
| 26 | AEP | American Electric Power Company, Inc. | Stock-Utilities | 0.26% | -0.04% | — | |
| 27 | FNV | Franco-nevada CORP | Stock-Materials | 0.26% | +0.01% | — | |
| 28 | PNC V5 PERP S | Pnc Financial Services | Stock-Financials | 0.24% | — | — | |
| 29 | AXP V0 PERP C | American Express Co | Stock-Financials | 0.24% | — | — | |
| 30 | AEP | American Electric Power | Stock-Utilities | 0.22% | — | — | |
| 31 | V | Visa Inc-class A Shares | Stock-Financials | 0.22% | +0.02% | — | |
| 32 | TXN | Texas Instruments INC | Stock-Tech | 0.20% | +0.02% | — | |
| 33 | RGLD | Royal Gold INC | Stock-Materials | 0.20% | +0.02% | — | |
| 34 | IWB | Ishares Russell 1000 ETF | ETF-Other | 0.18% | -1.46% | -88.86% | |
| 35 | ✓ | Stock-Other | 0.18% | — | — | ||
| 36 | PPG | Ppg Industries INC | Stock-Materials | 0.18% | — | — | |
| 37 | BMY | Bristol-myers Squibb Co | Stock-Healthcare | 0.17% | +0.02% | — | |
| 38 | NEM | Newmont CORP | Stock-Materials | 0.16% | +0.01% | — | |
| 39 | REM | Ishares Mortgage Real Estate | ETF-Other | 0.16% | — | — | |
| 40 | IEI | Ishares 3-7 Year Treasury Bo | ETF-Gov Bonds | 0.16% | — | — | |
| 41 | KO | Coca-cola Co/the | Stock-Consumer Staples | 0.16% | — | — | |
| 42 | AMGN | Amgen INC | Stock-Healthcare | 0.15% | — | — | |
| 43 | COP | Conocophillips | Stock-Energy | 0.15% | +0.01% | — | |
| 44 | ✓ | Randgold Resources Ltd-adr | Stock-Other | 0.15% | +0.01% | — | |
| 45 | KHC | Kraft Heinz Co/the | Stock-Consumer Staples | 0.14% | -0.02% | — | |
| 46 | NLYEUR | Annaly Capital Management In | Stock-Other | 0.14% | — | — | |
| 47 | LUV | Southwest Airlines Co | Stock-Industrials | 0.13% | -0.02% | — | |
| 48 | MUX | McEwen Inc. | Stock-Other | 0.12% | -0.04% | +3.85% | |
| 49 | BA | Boeing Co/the | Stock-Industrials | 0.12% | +0.03% | — | |
| 50 | ✓ | Stock-Other | 0.11% | — | — |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2017-09-30 | 119 | $86.5M | 15 | |
| 2017-06-30 | 122 | $84.5M | 11 | |
| 2017-03-31 | 113 | $81.3M | 25 | |
| 2016-12-31 | 124 | $87.2M | 75 | |
| 2016-09-30 | 123 | $188.4M | 3 | |
| 2016-06-30 | 118 | $187.1M | 13 | |
| 2016-03-31 | 114 | $174.7M | 100 | |
| 2015-12-31 | 121 | $147.6M | 8 | |
| 2015-09-30 | 112 | $153.1M | 7 | |
| 2015-06-30 | 105 | $164.1M | 3 | |
| 2015-03-31 | 107 | $165.4M | 6 | |
| 2014-12-31 | 111 | $156.9M | 6 | |
| 2014-09-30 | 116 | $157.0M | 22 | |
| 2014-06-30 | 86 | $181.8M | 12 | |
| 2014-03-31 | 92 | $173.0M | 7 | |
| 2013-12-31 | 98 | $163.4M | 14 | |
| 2013-09-30 | 122 | $187.1M | 13 | |
| 2013-06-30 | 156 | $171.5M | 53 |
Smith Affiliated Capital Corp.'s most significant position changes for 2017-09-30: New buy: Enterprise Products Oper (EPD V5.25 08-16-77 E); New buy: Public Storage (PSA 5.05 PERP G); Sold out: Public Storage (PSA 5.375 PERP V); Sold out: Southern Co (SO 6.25 10-15-75); New buy: Sce Trust Vi (EIX 5 PERP).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ETR 4.9 10-01-66 | Entergy Mississippi LLC | +0.5% | +49.60% | Add |
| 2 | JPM V0 PERP Q | Jpmorgan Chase & Co | +0.3% | +62.50% | Add |
| 3 | NRUC V5.25 04-20-46 | National Rural Util Coop | +0.2% | +18.40% | Add |
| 4 | URNM | Sprott Uranium Miners ETF | +0.1% | -0.24% | Trim |
| 5 | D 5.25 07-30-76 A | Dominion Energy INC | +0.1% | +13.81% | Add |
| 6 | TRPCN V5.3 03-15-77 | Transcanada Trust | +0.1% | +7.59% | Add |
| 7 | BA | Boeing Co/the | 0% | — | Unchanged |
| 8 | GILD | Gilead Sciences INC | 0% | +21.67% | Add |
| 9 | TXN | Texas Instruments INC | 0% | — | Unchanged |
| 10 | V | Visa Inc-class A Shares | 0% | — | Unchanged |
| 11 | BMY | Bristol-myers Squibb Co | 0% | — | Unchanged |
| 12 | RGLD | Royal Gold INC | 0% | — | Unchanged |
| 13 | NEM | Newmont CORP | 0% | — | Unchanged |
| 14 | COP | Conocophillips | 0% | — | Unchanged |
| 15 | FNV | Franco-nevada CORP | 0% | — | Unchanged |
| 16 | FCX | Freeport-mcmoran INC | 0% | — | Unchanged |
| 17 | ✓ | Randgold Resources Ltd-adr | 0% | — | Unchanged |
| 18 | USB V5.3 PERP J | US Bancorp | — | — | Unchanged |
| 19 | MO | Altria Group INC | 0% | — | Unchanged |
| 20 | AAPL | Apple INC | 0% | -50.00% | Trim |
| 21 | KHC | Kraft Heinz Co/the | 0% | — | Unchanged |
| 22 | LUV | Southwest Airlines Co | 0% | — | Unchanged |
| 23 | MUX | McEwen Inc. | 0% | +3.85% | Add |
| 24 | AEP | American Electric Power Company, Inc. | 0% | — | Unchanged |
| 25 | CB V0 04-15-37 | Chubb CORP | -0.1% | -7.48% | Trim |
| 26 | JPM V0 PERP I | Jpmorgan Chase & Co | -0.1% | -15.38% | Trim |
| 27 | EIX V5.45 PERP K | Sce Trust V | -0.2% | -14.80% | Trim |
| 28 | GLD | Spdr Gold Shares | -0.2% | -76.84% | Trim |
| 29 | PHYS | Sprott Physical Gold Trust | -0.2% | -6.36% | Trim |
| 30 | IWB | Ishares Russell 1000 ETF | -1.5% | -88.86% | Trim |
| 31 | EPD V5.25 08-16-77 E | Enterprise Products Oper | — | NEW | New buy |
| 32 | PSA 5.05 PERP G | Public Storage | — | NEW | New buy |
| 33 | PSA 5.375 PERP V | Public Storage | — | EXIT | Sold out |
| 34 | SO 6.25 10-15-75 | Southern Co | — | EXIT | Sold out |
| 35 | EIX 5 PERP | Sce Trust Vi | — | NEW | New buy |
| 36 | WFC V0 PERP K | Wells Fargo & Company | — | EXIT | Sold out |
| 37 | PNC 5.375 PERP Q | Pnc Financial Services | — | EXIT | Sold out |
| 38 | BNY V4.625 PERP F | Bank Of Ny Mellon CORP | — | NEW | New buy |
| 39 | SO 5.25 10-01-76 | Southern Co | — | NEW | New buy |
| 40 | SCHW 6 PERP C | Charles Schwab CORP | — | EXIT | Sold out |
| 41 | VZ 5.9 02-15-54 | Verizon Communications | — | EXIT | Sold out |
| 42 | NLY 7.625 PERP E | Annaly Capital Mgmt | — | EXIT | Sold out |
| 43 | USB V6.5 PERP F | US Bancorp | — | EXIT | Sold out |
| 44 | EFX | Equifax INC | — | EXIT | Sold out |
| 45 | CTL 6.875 10-01-54 | Qwest CORP | — | EXIT | Sold out |
| 46 | ✓ | Navios Maritime Partners L P | — | NEW | New buy |
| 47 | VFH | Vanguard Financials ETF | — | NEW | New buy |
| 48 | NMM | Navios Maritime Partners L.P. | — | EXIT | Sold out |
| 49 | VHT | Vanguard Health Care ETF | — | NEW | New buy |
| 50 | VGT | Vanguard Info Tech ETF | — | NEW | New buy |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2017-09-30 | 2017-10-26 | Amendment | View on EDGAR |
| 2017-09-30 | 2017-10-25 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-07-28 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-05-04 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-02-13 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-10-25 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-07-11 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-12 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-12 | Amendment | View on EDGAR |
| 2015-12-31 | 2016-01-14 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-11-09 | Amendment | View on EDGAR |
| 2015-09-30 | 2015-10-15 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-11-09 | Amendment | View on EDGAR |
| 2015-06-30 | 2015-09-29 | Amendment | View on EDGAR |
| 2015-06-30 | 2015-09-25 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-11-09 | Amendment | View on EDGAR |
| 2015-03-31 | 2015-09-25 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-11-06 | Amendment | View on EDGAR |
| 2014-12-31 | 2015-09-25 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2015-11-06 | Amendment | View on EDGAR |
| 2014-09-30 | 2015-09-25 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2015-11-06 | Amendment | View on EDGAR |
| 2014-06-30 | 2015-09-25 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2015-11-06 | Amendment | View on EDGAR |
| 2014-03-31 | 2015-09-25 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2015-11-06 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2015-11-06 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2015-11-06 | 13F-HR | View on EDGAR |
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