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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
FIW icon
801
First Trust Water ETF
FIW
$1.84B
$248K 0.01%
+7,895
New +$234K
IEP icon
802
Icahn Enterprises
IEP
$5.22B
$248K 0.01%
3,065
-1,085
-26% -$81.7K
RFG icon
803
Invesco S&P MidCap 400 Pure Growth ETF
RFG
$340M
$248K 0.01%
+11,125
New +$240K
APU
804
DELISTED
AmeriGas Partners, L.P.
APU
$248K 0.01%
5,835
-569
-9% -$25.3K
ARII
805
DELISTED
American Railcar Industries, Inc.
ARII
$248K 0.01%
6,194
+215
+4% +$7.67K
DNP icon
806
DNP Select Income Fund
DNP
$4.08B
$247K 0.01%
25,713
-3,084
-11% -$30.5K
CYE
807
DELISTED
BLACKROCK CORP HG YLD FD III, INC.
CYE
$247K 0.01%
33,997
-1,750
-5% -$12.5K
DTE icon
808
DTE Energy
DTE
$29.4B
$246K 0.01%
4,352
+257
+6% +$14.9K
NOC icon
809
Northrop Grumman
NOC
$75.8B
$246K 0.01%
2,606
-505
-16% -$46.7K
ERF
810
DELISTED
Enerplus Corporation
ERF
$246K 0.01%
14,902
-4,655
-24% -$76.3K
NLSN
811
DELISTED
Nielsen Holdings plc
NLSN
$245K 0.01%
6,707
+307
+5% +$10.5K
DBC icon
812
Invesco DB Commodity Index Tracking Fund
DBC
$1.7B
$242K 0.01%
9,415
-25,885
-73% -$676K
SODA
813
DELISTED
SodaStream International Ltd
SODA
$242K 0.01%
+3,875
New +$246K
CMCSK
814
DELISTED
COMCAST CORP SPL A (NEW)
CMCSK
$242K 0.01%
+5,403
New +$242K
VXZ
815
DELISTED
iPath S&P 500 VIX Mid-Term Futures ETN due 1/30/2019
VXZ
$241K 0.01%
+3,202
New +$252K
XEL icon
816
Xcel Energy
XEL
$49.1B
$240K 0.01%
8,642
-1,204
-12% -$34.4K
EES icon
817
WisdomTree US SmallCap Earnings Fund
EES
$720M
$238K 0.01%
+9,585
New +$229K
ROSE
818
DELISTED
ROSETTA RESOURCES INC
ROSE
$238K 0.01%
4,371
-481
-10% -$22.8K
HYMB icon
819
State Street SPDR Nuveen ICE High Yield Municipal Bond ETF
HYMB
$3.08B
$237K 0.01%
9,082
-4,406
-33% -$113K
MOO icon
820
VanEck Agribusiness ETF
MOO
$975M
$235K 0.01%
4,586
+500
+12% +$25.6K
OCR
821
DELISTED
OMNICARE INC
OCR
$235K 0.01%
4,213
– –
APL
822
DELISTED
ATLAS PIPELINE PARTNERS LP UTS
APL
$234K 0.01%
5,959
-20
-0.3% -$762
ICF icon
823
iShares Select U.S. REIT ETF
ICF
$2.08B
$232K 0.01%
6,068
+822
+16% +$32.6K
PALI icon
824
Palisade Bio
PALI
$332M
– –
0
– –
MUH
825
DELISTED
Blackrock Muniholdings Fund II, Inc.
MUH
$231K 0.01%
16,308
-546
-3% -$7.53K
31 32
33
34 35

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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
CGM Trust Boston, Massachusetts $957M AUM
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.