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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
AYN
926
DELISTED
Alliance New York Income Fund
AYN
$129K 0.01%
10,682
+500
+5% +$5.96K
NRK icon
927
Nuveen New York AMT-Free Quality Municipal Income Fund
NRK
$903M
$126K 0.01%
10,359
-2,219
-18% -$27.3K
NID
928
DELISTED
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
$125K 0.01%
+11,000
New +$128K
OIA icon
929
Invesco Municipal Income Opportunities Trust
OIA
$293M
$124K 0.01%
19,380
– –
LSI
930
DELISTED
LSI CORPORATION
LSI
$124K 0.01%
15,529
+1,152
+8% +$8.81K
HMH
931
DELISTED
HELIOS MULTI-SECTOR HIGH INCOME FD, INC
HMH
$123K 0.01%
20,966
+400
+2% +$2.27K
PYN
932
DELISTED
PIMCO New York Municipal Income Fund III
PYN
$121K 0.01%
12,974
– –
PZC
933
DELISTED
PIMCO California Municipal Income Fund III
PZC
$121K 0.01%
+12,500
New +$119K
DEX
934
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$121K 0.01%
10,228
– –
HL icon
935
Hecla Mining
HL
$10B
$119K 0.01%
38,647
-6,500
-14% -$21.2K
RITM icon
936
Rithm Capital
RITM
$5.51B
$119K 0.01%
9,148
-953
-9% -$12.5K
PIOI
937
DELISTED
Active Power Inc
PIOI
$119K 0.01%
41,000
– –
CCG
938
DELISTED
CAMPUS CREST COMMUNITIES INC COM STK (MD)
CCG
$119K 0.01%
+10,712
New +$119K
SWC
939
DELISTED
Stillwater Mining Co
SWC
$116K 0.01%
+10,330
New +$120K
ANR
940
DELISTED
Alpha Natural Resources Inc
ANR
$116K 0.01%
19,377
-9,199
-32% -$53.9K
FLEX icon
941
Flex
FLEX
$41B
$115K 0.01%
16,631
+1,523
+10% +$10K
LXP icon
942
LXP Industrial Trust
LXP
$3.52B
$115K 0.01%
2,081
-249
-11% -$15K
CLM icon
943
Cornerstone Strategic Value Fund
CLM
$2.18B
$114K 0.01%
4,051
-505
-11% -$14.3K
HYB
944
DELISTED
New America High Income Fund, Inc.
HYB
$114K 0.01%
12,051
+806
+7% +$7.69K
FAV
945
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
$111K 0.01%
13,093
-2,981
-19% -$24.8K
PSMI
946
DELISTED
PEREGRINE SEMICONDUCTOR CORP COM STK (DE)
PSMI
$110K 0.01%
12,193
-1,214
-9% -$12.9K
IID
947
DELISTED
VOYA INTERNATIONAL HIGH DIVIDEND EQUITY INCOME FUND
IID
$109K 0.01%
12,000
-800
-6% -$7.42K
VVUS
948
DELISTED
Vivus Inc
VVUS
$109K 0.01%
+1,160
New +$145K
IDTI
949
DELISTED
Integrated Device Technology I
IDTI
$108K 0.01%
+11,616
New +$103K
ZIPR
950
DELISTED
ZIP REALTY, INC
ZIPR
$107K 0.01%
+19,403
New +$80.6K
36 37
38
39 40

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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
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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.