SA
Smith Affiliated Capital Corp. Historical SEC 13F Holdings & Archive (Q3 2017)
Smith Affiliated Capital Corp.CIK: 0001540138
Concentrated strategyMomentum followerLong-term holder
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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Personality snowflake
- Concentration
- 100
- Portfolio Stability
- 15.4
- Momentum
- 100
- Sector conviction
- 43.78
- Diversification
- 100
- Sizing Uniformity
- 26.96
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.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govTrim 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
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | 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 EBond | Enterprise Products Oper | Bond | 2.23% | +2.23% | NEW | |
| 4 | ETR 4.9 10-01-66Bond | Entergy Mississippi LLC | Bond | 1.60% | +0.53% | +49.60% | |
| 5 | USB V5.3 PERP JBond | US Bancorp | Bond | 1.54% | — | — | |
| 6 | PSA 5.05 PERP GBond | Public Storage | Bond | 1.34% | +1.34% | NEW | |
| 7 | TRPCN V5.3 03-15-77Bond | Transcanada Trust | Bond | 1.26% | +0.06% | +7.59% | |
| 8 | NRUC V5.25 04-20-46Bond | National Rural Util Coop | Bond | 1.19% | +0.18% | +18.40% | |
| 9 | D V0 10-01-54 .Bond | Dominion Energy Inc | Bond | 1.10% | — | — | |
| 10 | PRU V5.2 03-15-44Bond | Prudential Financial Inc | Bond | 1.04% | — | — | |
| 11 | EIX 5 PERPBond | Sce Trust Vi | Bond | 0.97% | +0.97% | NEW | |
| 12 | NTRS V4.6 PERP DBond | Northern Trust CORP | Bond | 0.89% | — | — | |
| 13 | JPM V0 PERP QBond | Jpmorgan Chase & Co | Bond | 0.78% | +0.29% | +62.50% | |
| 14 | SCHW V0 PERP EBond | Charles Schwab CORP | Bond | 0.71% | — | — | |
| 15 | JPM V0 PERP IBond | Jpmorgan Chase & Co | Bond | 0.66% | -0.14% | -15.38% | |
| 16 | BNSF V6.613 12-15-55Bond | Bnsf Funding Trust I | Bond | 0.65% | — | — | |
| 17 | AXP V0 PERP BBond | American Express Co | Bond | 0.65% | — | — | |
| 18 | ALL V0 08-15-53 BBond | Allstate CORP | Bond | 0.63% | — | — | |
| 19 | D 5.25 07-30-76 ABond | Dominion Energy Inc | Bond | 0.61% | +0.07% | +13.81% | |
| 20 | EIX V5.45 PERP KBond | Sce Trust V | Bond | 0.61% | -0.15% | -14.80% | |
| 21 | STT V0 PERP FBond | State Street CORP | Bond | 0.61% | — | — | |
| 22 | BNY V3.64738 PERP EBond | Bank Of Ny Mellon CORP | Bond | 0.60% | — | — | |
| 23 | CB V0 04-15-37Bond | Chubb CORP | Bond | 0.57% | -0.06% | -7.48% | |
| 24 | BNY V4.625 PERP FBond | Bank Of Ny Mellon CORP | Bond | 0.47% | +0.47% | NEW | |
| 25 | SO 5.25 10-01-76Bond | Southern Co | Bond | 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 SBond | Pnc Financial Services | Bond | 0.24% | — | — | |
| 29 | AXP V0 PERP CBond | American Express Co | Bond | 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% | — | — |
1–50 of 119
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2017 Q3 | 119 | $86.5M | 15 | ||
| 2017 Q2 | 122 | $84.5M | 11 | ||
| 2017 Q1 | 113 | $81.3M | 25 | ||
| 2016 Q4 | 124 | $87.2M | 75 | ||
| 2016 Q3 | 123 | $188.4M | 3 | ||
| 2016 Q2 | 118 | $187.1M | 13 | ||
| 2016 Q1 | 114 | $174.7M | 100 | ||
| 2015 Q4 | 121 | $147.6M | 8 | ||
| 2015 Q3 | 112 | $153.1M | 7 | ||
| 2015 Q2 | 105 | $164.1M | 3 | ||
| 2015 Q1 | 107 | $165.4M | 6 | ||
| 2014 Q4 | 111 | $156.9M | 6 | ||
| 2014 Q3 | 116 | $157.0M | 22 | ||
| 2014 Q2 | 86 | $181.8M | 12 | ||
| 2014 Q1 | 92 | $173.0M | 7 | ||
| 2013 Q4 | 98 | $163.4M | 14 | ||
| 2013 Q3 | 122 | $187.1M | 13 | ||
| 2013 Q2 | 156 | $171.5M | 53 |
Holding changes this quarter
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 10-01-66Bond | Entergy Mississippi LLC | +0.5% | +49.60% | Add |
| 2 | JPM V0 PERP QBond | Jpmorgan Chase & Co | +0.3% | +62.50% | Add |
| 3 | NRUC V5.25 04-20-46Bond | 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 ABond | Dominion Energy Inc | +0.1% | +13.81% | Add |
| 6 | TRPCN V5.3 03-15-77Bond | 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 JBond | 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 04-15-37Bond | Chubb CORP | -0.1% | -7.48% | Trim |
| 26 | JPM V0 PERP IBond | Jpmorgan Chase & Co | -0.1% | -15.38% | Trim |
| 27 | EIX V5.45 PERP KBond | 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 EBond | Enterprise Products Oper | — | NEW | New buy |
| 32 | PSA 5.05 PERP GBond | Public Storage | — | NEW | New buy |
| 33 | PSA 5.375 PERP VBond | Public Storage | — | EXIT | Sold out |
| 34 | SO 6.25 10-15-75Bond | Southern Co | — | EXIT | Sold out |
| 35 | EIX 5 PERPBond | Sce Trust Vi | — | NEW | New buy |
| 36 | WFC V0 PERP KBond | Wells Fargo & Company | — | EXIT | Sold out |
| 37 | PNC 5.375 PERP QBond | Pnc Financial Services | — | EXIT | Sold out |
| 38 | BNY V4.625 PERP FBond | Bank Of Ny Mellon CORP | — | NEW | New buy |
| 39 | SO 5.25 10-01-76Bond | Southern Co | — | NEW | New buy |
| 40 | SCHW 6 PERP CBond | Charles Schwab CORP | — | EXIT | Sold out |
| 41 | VZ 5.9 02-15-54Bond | Verizon Communications | — | EXIT | Sold out |
| 42 | NLY 7.625 PERP EBond | Annaly Capital Mgmt | — | EXIT | Sold out |
| 43 | USB V6.5 PERP FBond | US Bancorp | — | EXIT | Sold out |
| 44 | EFX | Equifax Inc | — | EXIT | Sold out |
| 45 | CTL 6.875 10-01-54Bond | 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 |
Filing History
FAQ
What is Smith Affiliated Capital Corp. and what type of investor is it?
Smith Affiliated Capital Corp. is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2017-09-30), the firm manages a tracked equity portfolio valued at approximately $86.5M, spread across 119 disclosed positions.
What are Smith Affiliated Capital Corp.'s largest equity positions?
Based on the latest 13F filing, Smith Affiliated Capital Corp.'s top holdings by market value are:
1. Sprott Uranium Miners ETF (URNM) — $57.9M (67.0%)
2. Sprott Physical Gold Trust (PHYS) — $3.5M (4.0%)
3. Enterprise Products Oper (EPD V5.25 08-16-77 E) — $1.9M (2.2%)
4. Entergy Mississippi LLC (ETR 4.9 10-01-66) — $1.4M (1.6%)
5. US Bancorp (USB V5.3 PERP J) — $1.3M (1.5%)
What changes did Smith Affiliated Capital Corp. make in its most recent portfolio filing?
In the latest reported quarter, Smith Affiliated Capital Corp. made 35 notable position adjustments: 9 new positions were initiated, 7 existing holdings were added to, 8 positions were partially reduced, and 11 were completely exited. The largest of these moves: 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)
What sectors does Smith Affiliated Capital Corp. focus on?
Smith Affiliated Capital Corp. is concentrated in the following sectors based on its current disclosed equity portfolio:
• Health Care: 21.7%
• Consumer Staples: 20.2%
• Industrials: 14.5%
• Information Technology: 11.9%
• Financials: 10.7%
• Communication Services: 6.0%
Investment Profile
Smith Affiliated Capital Corp.'s portfolio is concentrated and long-term-holding.
It has added to its NRUC V5.25 04-20-46 position over the past two quarters (+$439.2K, now $1.0M), while trimming GLD over the same stretch (-$165.0K, still holding $51.3K).
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