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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
JPC icon
876
Nuveen Preferred & Income Opportunities Fund
JPC
$2.64B
$123K 0.01%
13,781
-17,027
-55% -$149K
IRS
877
IRSA Inversiones y Representaciones
IRS
$1.3B
$121K 0.01%
+10,382
New +$115K
WINT
878
DELISTED
Windtree Therapeutics Inc
WINT
$120K 0.01%
3,821
+3,107
+435% +$97.2K
DRYS
879
DELISTED
DryShips Inc. Common Stock
DRYS
– –
0
– –
RITM icon
880
Rithm Capital
RITM
$5.29B
$117K 0.01%
9,022
-126
-1% -$1.63K
ABEV icon
881
Ambev
ABEV
$46.1B
$113K 0.01%
+13,801
New +$101K
MCR
882
DELISTED
MFS Charter Income Trust
MCR
$113K 0.01%
12,427
-19,577
-61% -$175K
PYN
883
DELISTED
PIMCO New York Municipal Income Fund III
PYN
$112K 0.01%
12,974
– –
IID
884
DELISTED
VOYA INTERNATIONAL HIGH DIVIDEND EQUITY INCOME FUND
IID
$112K 0.01%
12,000
– –
FCO
885
DELISTED
abrdn Global Income Fund
FCO
$111K 0.01%
+10,680
New +$115K
VKI icon
886
Invesco Advantage Municipal Income Trust II
VKI
$376M
$111K 0.01%
10,500
-3,700
-26% -$38.4K
MIN
887
Aberdeen Intermediate Income Fund
MIN
$266M
$110K 0.01%
21,267
-960,916
-98% -$5.01M
ZIPR
888
DELISTED
ZIP REALTY, INC
ZIPR
$110K 0.01%
19,000
-403
-2% -$2.28K
NOK icon
889
Nokia
NOK
$56.8B
$109K 0.01%
13,526
-1,783
-12% -$13.4K
OIA icon
890
Invesco Municipal Income Opportunities Trust
OIA
$274M
$109K 0.01%
17,380
-2,000
-10% -$12.3K
FAV
891
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
$108K 0.01%
12,113
-980
-7% -$8.35K
MGF
892
Aberdeen Government Markets Income Fund
MGF
$89.6M
$105K 0.01%
18,216
-8,900
-33% -$50.4K
LXP icon
893
LXP Industrial Trust
LXP
$3.59B
$104K 0.01%
2,081
– –
REFR icon
894
Research Frontiers
REFR
$13.3M
$104K 0.01%
18,000
– –
DS
895
DELISTED
Drive Shack Inc.
DS
$103K 0.01%
19,087
-57
-0.3% -$286
CCG
896
DELISTED
CAMPUS CREST COMMUNITIES INC COM STK (MD)
CCG
$102K 0.01%
10,712
– –
EAD
897
Allspring Income Opportunities Fund
EAD
$364M
$101K 0.01%
10,877
+111
+1% +$1K
RSO
898
DELISTED
Resource Capital Corp.
RSO
$100K 0.01%
4,208
+29
+0.7% +$692
FLEX icon
899
Flex
FLEX
$39.9B
$97K 0.01%
16,412
-219
-1% -$1.33K
RFMD
900
DELISTED
RF MICRO DEVICES INC
RFMD
$97K 0.01%
+19,200
New +$103K
34 35
36
37 38

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WAM
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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 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.