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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
PAAS icon
901
Pan American Silver
PAAS
$18.6B
$179K 0.01%
17,000
-16,656
-49% -$203K
JCP
902
DELISTED
J.C. Penney Company, Inc.
JCP
$179K 0.01%
+20,155
New +$287K
LPHI
903
DELISTED
LIFE PARTNERS HLDGS INC
LPHI
$178K 0.01%
80,875
– –
GDF
904
DELISTED
WESTERN ASSET GLB PARTNERS INCM FUND INC. COM
GDF
$173K 0.01%
15,829
+3,205
+25% +$35K
IAF
905
abrdn Australia Equity Fund
IAF
$124M
$172K 0.01%
5,517
+267
+5% +$8.28K
BBAR icon
906
BBVA Argentina
BBAR
$4.04B
$167K 0.01%
+25,283
New +$124K
PHT
907
DELISTED
Pioneer High Income Fund
PHT
$167K 0.01%
+10,000
New +$167K
APF
908
DELISTED
Morgan Stanley Asia Pacific Fund
APF
$167K 0.01%
10,067
– –
DPO
909
DELISTED
DOW ENHANCED PREMIUM & INCOME FUND, INC COM
DPO
$165K 0.01%
13,875
-10,625
-43% -$130K
GUT
910
Gabelli Utility Trust
GUT
$569M
$164K 0.01%
+26,324
New +$167K
OCSL icon
911
Oaktree Specialty Lending
OCSL
$1.03B
$163K 0.01%
5,266
+24
+0.5% +$762
NVC
912
DELISTED
NUVEEN CALIF SELECT QUAL MUNI
NVC
$162K 0.01%
+11,550
New +$161K
BYM
913
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$156K 0.01%
11,417
– –
MGF
914
Aberdeen Government Markets Income Fund
MGF
$91.6M
$155K 0.01%
27,116
-56,809
-68% -$325K
PSP icon
915
Invesco Global Listed Private Equity ETF
PSP
$233M
$155K 0.01%
2,759
+363
+15% +$21K
ZNGA
916
DELISTED
ZYNGA INC. CL A COMMON
ZNGA
$155K 0.01%
41,120
-575
-1% -$1.81K
FT
917
Franklin Universal Trust
FT
$199M
$153K 0.01%
22,685
– –
VKI icon
918
Invesco Advantage Municipal Income Trust II
VKI
$398M
$149K 0.01%
14,200
-2,700
-16% -$28.6K
JTA
919
DELISTED
Nuveen Tax-Advantaged Total Return Strategy Fund
JTA
$147K 0.01%
11,750
– –
SD
920
DELISTED
SANDRIDGE ENERGY, INC.
SD
$142K 0.01%
+24,644
New +$132K
NKX icon
921
Nuveen California AMT-Free Quality Municipal Income Fund
NKX
$646M
$141K 0.01%
11,998
-200
-2% -$2.46K
ERH
922
Allspring Utilities & High Income Fund
ERH
$104M
$140K 0.01%
11,653
-4,403
-27% -$53.1K
NAC icon
923
Nuveen California Quality Municipal Income Fund
NAC
$1.84B
$140K 0.01%
11,018
+1,005
+10% +$12.7K
SIMO icon
924
Silicon Motion
SIMO
$8.65B
$135K 0.01%
10,450
– –
ACI
925
DELISTED
ARCH COAL, INC.
ACI
$129K 0.01%
3,059
-2,596
-46% -$113K
35 36
37
38 39

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WAM
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FS
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NIMC
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TI
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VIM
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PS
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CT
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CAW
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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.