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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
+7.56%
1 Year Est. Return
+15.89%
3 Year Est. Return
+33.5%
5 Year Est. Return
+71.76%
10 Year Est. Return
–
AUM
$1.25B
AUM Growth
-$470M
Cap. Flow
-$560M
Cap. Flow %
-44.89%
Top 10 Hldgs %
14.2%
Holding
1,119
New
115
Increased
289
Reduced
491
Closed
173

Top Buys

Rank Stock Value
1
IVV icon
iShares Core S&P 500 ETF
IVV
+$24.3M
2
IJH icon
iShares Core S&P Mid-Cap ETF
IJH
+$23.7M
3
SSO icon
ProShares Ultra S&P500
SSO
+$14M
4
MVV icon
ProShares Ultra MidCap400
MVV
+$13M
5
CYB
WisdomTree Chinese Yuan Strategy Fund
CYB
+$4.1M

Top Sells

Rank Stock Value
1
IEI icon
iShares 3-7 Year Treasury Bond ETF
IEI
+$23.8M
2
MBB icon
iShares MBS ETF
MBB
+$23M
3
VEA icon
Vanguard FTSE Developed Markets ETF
VEA
+$21.8M
4
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$21.6M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$21.3M

Sector Composition

Rank Sector Weight
1 Miscellaneous 49.03%
2 Financials 7.12%
3 Technology 7%
4 Energy 6.67%
5 Healthcare 6.31%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EMN icon
551
Eastman Chemical
EMN
$7.44B
$420K 0.03%
5,213
+121
+2% +$9.39K
INB
552
DELISTED
Cohen & Steers Global Income Builder, Inc.
INB
$420K 0.03%
37,000
-400
-1% -$4.42K
ETV
553
Eaton Vance Tax-Managed Buy-Write Opportunities Fund
ETV
$1.75B
$418K 0.03%
29,880
-1,500
-5% -$20.3K
EXC icon
554
Exelon
EXC
$43.7B
$416K 0.03%
21,232
-4,120
-16% -$82.9K
TEF
555
DELISTED
Telefonica
TEF
$416K 0.03%
34,568
-1,484
-4% -$18K
LO
556
DELISTED
LORILLARD INC COM STK
LO
$414K 0.03%
8,187
-1,415
-15% -$70.5K
VFH icon
557
Vanguard Financials ETF
VFH
$13.1B
$412K 0.03%
9,294
-13,452
-59% -$577K
HLF icon
558
Herbalife
HLF
$1.24B
$411K 0.03%
+10,348
New +$359K
PKO
559
DELISTED
Pimco Income Opportunity Fund
PKO
$410K 0.03%
14,476
– –
ABB
560
DELISTED
ABB Ltd
ABB
$407K 0.03%
15,208
-6,529
-30% -$163K
ULQ
561
DELISTED
CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF
ULQ
$407K 0.03%
8,159
-229
-3% -$11.4K
XLNX
562
DELISTED
Xilinx Inc
XLNX
$404K 0.03%
8,845
+30
+0.3% +$1.35K
TYC
563
DELISTED
TYCO INTL PLC COM SHS (IRL)
TYC
$404K 0.03%
9,449
+748
+9% +$29.1K
STJ
564
DELISTED
St Jude Medical
STJ
$402K 0.03%
6,454
-16,933
-72% -$981K
YHOO
565
DELISTED
Yahoo Inc
YHOO
$401K 0.03%
10,017
+578
+6% +$20.7K
PBI icon
566
Pitney Bowes
PBI
$2.37B
$398K 0.03%
17,021
-194
-1% -$4.17K
BTU
567
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$398K 0.03%
1,345
-119
-8% -$33.6K
VNQI icon
568
Vanguard Global ex-US Real Estate ETF
VNQI
$3.35B
$397K 0.03%
7,296
-1,097
-13% -$61.8K
ITW icon
569
Illinois Tool Works
ITW
$76.1B
$396K 0.03%
4,671
-589
-11% -$46.5K
PFN
570
PIMCO Income Strategy Fund II
PFN
$643M
$396K 0.03%
39,678
-28,070
-41% -$285K
WTRG icon
571
Essential Utilities
WTRG
$11.7B
$396K 0.03%
16,715
-2,766
-14% -$67.4K
X
572
DELISTED
US Steel
X
$395K 0.03%
13,221
-900
-6% -$23.2K
SRE icon
573
Sempra
SRE
$53.4B
$392K 0.03%
8,708
-1,256
-13% -$55.8K
FTA icon
574
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.38B
$391K 0.03%
9,772
+4,110
+73% +$159K
FYX icon
575
First Trust Small Cap Core AlphaDEX Fund
FYX
$1.37B
$391K 0.03%
8,015
+2,046
+34% +$94.4K
21 22
23
24 25

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WAM
Wealthspire Advisors (Maryland) Potomac, Maryland $2.84B AUM 10.91% 1-Year Est. Return
FS
Feinberg Stephen $2.61B AUM 15.12% 1-Year Est. Return
NIMC
NWQ Investment Management Company Los Angeles, California $2.22B AUM 6.84% 1-Year Est. Return
TI
TT International London, United Kingdom $1.94B AUM
VIM
Veritas Investment Management London, United Kingdom $1.65B AUM 25.54% 1-Year Est. Return
PS
Peter Svennilson $1.23B AUM 301.34% 1-Year Est. Return
CT
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CAW
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First Allied Advisory Services's Q4 2013 Portfolio in Review

As of Q4 2013, First Allied Advisory Services held 1,119 positions worth $1.25B, down 27% from $1.72B the previous quarter. Its ten largest holdings account for 14% of the portfolio.

First Allied Advisory Services withdrew a net $560M in Q4 2013, closing 173 positions and reducing 491 holdings. Its most notable exit was ProShares Ultra Russell2000, an estimated $12.5M position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 49% of assets, down from 55% a quarter earlier, followed by Financials and Technology.

Against the trend, First Allied Advisory Services opened a new position in ProShares Ultra S&P500 worth $15.4M.

  • First Allied Advisory Services's largest Q4 2013 buy was ProShares Ultra S&P500: 2,396,704 shares worth $15.4M.
  • First Allied Advisory Services added most to iShares Core S&P 500 ETF in Q4 2013, an estimated $24.3M increase.
  • First Allied Advisory Services's biggest Q4 2013 reduction was iShares 3-7 Year Treasury Bond ETF, cutting an estimated $23.8M.
  • First Allied Advisory Services fully exited ProShares Ultra Russell2000 in Q4 2013, selling an estimated $12.5M.
  • First Allied Advisory Services's ten largest holdings make up 14% of its $1.25B portfolio in Q4 2013.
  • First Allied Advisory Services opened 115 new positions and closed 173 in Q4 2013.
  • First Allied Advisory Services's portfolio value fell 27% quarter-over-quarter to $1.25B.

Based on First Allied Advisory Services's 13F filing for Q4 2013, filed 12 Feb 2014.