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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
IMUC
951
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
$103K 0.01%
1,000
– –
DS
952
DELISTED
Drive Shack Inc.
DS
$102K 0.01%
19,144
-2,072
-10% -$10.5K
TRST
953
Trustco Bank Corp NY
TRST
$963M
$100K 0.01%
3,385
– –
EAD
954
Allspring Income Opportunities Fund
EAD
$372M
$99K 0.01%
10,766
-3,227
-23% -$28.9K
NCV
955
Virtus Convertible & Income Fund
NCV
$380M
$99K 0.01%
2,665
– –
NOK icon
956
Nokia
NOK
$50.7B
$99K 0.01%
15,309
-5,500
-26% -$25.9K
RSO
957
DELISTED
Resource Capital Corp.
RSO
$99K 0.01%
4,179
+4
+0.1% +$98
SAND
958
DELISTED
Sandstorm Gold
SAND
$94K 0.01%
17,605
+2,500
+17% +$15K
PCF
959
High Income Securities Fund
PCF
$99.2M
$93K 0.01%
11,577
– –
SQNM
960
DELISTED
SEQUENOM INC NEW
SQNM
$92K 0.01%
34,600
-366
-1% -$1.23K
DHY
961
Credit Suisse High Yield Credit Fund
DHY
$242M
$90K 0.01%
28,528
-35,437
-55% -$108K
AGD
962
abrdn Global Dynamic Dividend Fund
AGD
$316M
$89K 0.01%
9,430
-375
-4% -$3.53K
ERS
963
DELISTED
Empire Resources, Inc.
ERS
$89K 0.01%
23,050
-2,000
-8% -$8.59K
BB icon
964
BlackBerry
BB
$4.95B
$85K ﹤0.01%
+10,670
New +$104K
PGH
965
DELISTED
Pengrowth Energy Corporation
PGH
$84K ﹤0.01%
14,168
-400
-3% -$2.25K
BSBR icon
966
Santander
BSBR
$37.8B
$83K ﹤0.01%
12,599
– –
HIS
967
DELISTED
BLACKROCK HIGH INCM SHS SHS BEN INT
HIS
$82K ﹤0.01%
40,284
– –
MFM
968
Aberdeen Municipal Income Fund
MFM
$222M
$81K ﹤0.01%
12,233
-9,267
-43% -$58.2K
SSRI
969
DELISTED
Silver Standard Resources
SSRI
$80K ﹤0.01%
+13,022
New +$97.6K
PLBC icon
970
Plumas Bancorp
PLBC
$426M
$77K ﹤0.01%
12,448
– –
CORR
971
DELISTED
CorEnergy Infrastructure Trust, Inc.
CORR
$77K ﹤0.01%
2,148
– –
REFR icon
972
Research Frontiers
REFR
$13.6M
$76K ﹤0.01%
18,000
– –
PBW icon
973
Invesco WilderHill Clean Energy ETF
PBW
$407M
$68K ﹤0.01%
+2,075
New +$60K
PVG
974
DELISTED
PRETIUM RESOURCES INC.
PVG
$68K ﹤0.01%
+10,246
New +$81K
CDMO
975
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$67K ﹤0.01%
6,907
+3,314
+92% +$32.9K
37 38
39
40 41

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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
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.