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FAAS

First Allied Advisory Services Portfolio holdings

AUM $2.98B
1-Year Est. Return 15.89%
This Fund
S&P 500
This Quarter Est. Return
+4.58%
1 Year Est. Return
+15.89%
3 Year Est. Return
+33.5%
5 Year Est. Return
+71.76%
10 Year Est. Return
–
AUM
$1.72B
AUM Growth
+$463M
Cap. Flow
+$415M
Cap. Flow %
24.15%
Top 10 Hldgs %
14.92%
Holding
1,095
New
147
Increased
484
Reduced
311
Closed
92

Top Buys

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$23.9M
2
MBB icon
iShares MBS ETF
MBB
+$14.3M
3
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$13.1M
4
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$12M
5
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$11.7M

Top Sells

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$16.4M
2
SSO icon
ProShares Ultra S&P500
SSO
+$9.12M
3
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$8.23M
4
RWX icon
State Street SPDR Dow Jones International Real Estate ETF
RWX
+$5.47M
5
XLU icon
State Street Utilities Select Sector SPDR ETF
XLU
+$4.35M

Sector Composition

Rank Sector Weight
1 Financials 6.48%
2 Technology 6.48%
3 Healthcare 6.16%
4 Energy 5.57%
5 Industrials 4.65%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UN
451
DELISTED
Unilever NV New York Registry Shares
UN
$619K 0.04%
16,454
+803
+5% +$31.7K
VOE icon
452
Vanguard Morningstar Mid-Cap Value ETF
VOE
$23.8B
$616K 0.04%
8,422
+884
+12% +$63.9K
CLB icon
453
Core Laboratories
CLB
$494M
$614K 0.04%
+3,618
New +$562K
PBA icon
454
Pembina Pipeline
PBA
$28.4B
$613K 0.04%
18,577
+1,199
+7% +$37.7K
FFC
455
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$777M
$610K 0.04%
33,491
-1,214
-3% -$22.2K
FISV
456
Fiserv Inc
FISV
$28.6B
$609K 0.04%
24,220
-10,728
-31% -$259K
ROST icon
457
Ross Stores
ROST
$80.7B
$609K 0.04%
16,760
+1,126
+7% +$38.4K
CPRI icon
458
Capri Holdings
CPRI
$1.83B
$607K 0.04%
8,237
+3,609
+78% +$252K
GPC icon
459
Genuine Parts
GPC
$17.2B
$607K 0.04%
7,498
-104
-1% -$8.44K
IDU icon
460
iShares US Utilities ETF
IDU
$1.36B
$605K 0.04%
12,970
-8,850
-41% -$423K
IYG icon
461
iShares US Financial Services ETF
IYG
$2.16B
$602K 0.04%
24,375
+2,667
+12% +$66.7K
POM
462
DELISTED
PEPCO HOLDINGS, INC.
POM
$595K 0.03%
31,938
+5,371
+20% +$104K
TGP
463
DELISTED
Teekay LNG Partners L.P.
TGP
$591K 0.03%
13,395
-514
-4% -$22.1K
NMZ icon
464
Nuveen Municipal High Income Opportunity Fund
NMZ
$2.19B
$586K 0.03%
49,893
+17,947
+56% +$208K
IHY icon
465
VanEck International High Yield Bond ETF
IHY
$43.2M
$584K 0.03%
21,928
-2,299
-9% -$60.5K
GT icon
466
Goodyear
GT
$2B
$583K 0.03%
25,985
+5,450
+27% +$104K
MRO
467
DELISTED
Marathon Oil Corporation
MRO
$582K 0.03%
16,776
-728
-4% -$25.9K
AEP icon
468
American Electric Power
AEP
$69.6B
$581K 0.03%
13,395
+1,475
+12% +$65.6K
CF icon
469
CF Industries
CF
$19.3B
$581K 0.03%
+13,960
New +$535K
AGQ icon
470
ProShares Ultra Silver
AGQ
$1.15B
$578K 0.03%
+7,224
New +$581K
COY
471
DELISTED
BLACKROCK CORP HIGH YLD FD INC
COY
$578K 0.03%
80,614
+13,346
+20% +$94.3K
ET icon
472
Energy Transfer Partners
ET
$70.1B
$576K 0.03%
35,052
+1,564
+5% +$24.9K
PJP icon
473
Invesco Pharmaceuticals ETF
PJP
$443M
$575K 0.03%
12,552
+303
+2% +$13.8K
UTG icon
474
Reaves Utility Income Fund
UTG
$3.54B
$575K 0.03%
23,404
-1,022
-4% -$25K
FLTR icon
475
VanEck IG Floating Rate ETF
FLTR
$2.94B
$574K 0.03%
+23,006
New +$573K
17 18
19
20 21

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WAM
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FS
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NIMC
NWQ Investment Management Company Los Angeles, California $2.22B AUM 6.84% 1-Year Est. Return
TI
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VIM
Veritas Investment Management London, United Kingdom $1.65B AUM 25.54% 1-Year Est. Return
PS
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CT
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CAW
Cornerstone Advisors (Washington) Bellevue, Washington $936M AUM 8.77% 1-Year Est. Return

First Allied Advisory Services's Q3 2013 Portfolio in Review

As of Q3 2013, First Allied Advisory Services held 1,095 positions worth $1.72B, up 37% from $1.25B the previous quarter. Its ten largest holdings account for 15% of the portfolio.

First Allied Advisory Services deployed $415M of net new capital in Q3 2013, opening 147 new positions and adding to 484 existing holdings. Its largest new stake was Vanguard Short-Term Inflation-Protected Securities Index Fund: 206,130 shares worth $10.1M.

By sector, the portfolio is most concentrated in Financials at 6.5% of assets, up from 6.1% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was iShares Core S&P 500 ETF, an estimated $16.4M trimmed.

  • First Allied Advisory Services's largest Q3 2013 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 206,130 shares worth $10.1M.
  • First Allied Advisory Services added most to iShares 3-7 Year Treasury Bond ETF in Q3 2013, an estimated $23.9M increase.
  • First Allied Advisory Services's biggest Q3 2013 reduction was iShares Core S&P 500 ETF, cutting an estimated $16.4M.
  • First Allied Advisory Services fully exited ProShares Ultra S&P500 in Q3 2013, selling an estimated $9.12M.
  • First Allied Advisory Services's ten largest holdings make up 15% of its $1.72B portfolio in Q3 2013.
  • First Allied Advisory Services opened 147 new positions and closed 92 in Q3 2013.
  • First Allied Advisory Services's portfolio value rose 37% quarter-over-quarter to $1.72B.

Based on First Allied Advisory Services's 13F filing for Q3 2013, filed 7 Nov 2013.