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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 Technology 6.96%
2 Financials 6.62%
3 Healthcare 6.24%
4 Energy 6.22%
5 Industrials 5.4%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DELL
1101
DELISTED
DELL INC
DELL
– –
-24,374
Closed -$341K
HCF
1102
DELISTED
NEXPOINT CREDIT STRATEGIES FUND
HCF
– –
-26,200
Closed -$199K
RXII
1103
DELISTED
GALENA BIOPHARMA INC COM
RXII
– –
-20,000
Closed -$46K
CYE
1104
DELISTED
BLACKROCK CORP HG YLD FD III, INC.
CYE
– –
-33,997
Closed -$247K
HOT
1105
DELISTED
STARWOOD HOTELS & RESORTS WORLDWIDE, INC.
HOT
– –
-4,799
Closed -$321K
NID
1106
DELISTED
NUVEEN INTERMEDIATE DURATION MUNICIPAL TERM FUND
NID
– –
-11,000
Closed -$125K
MCRO
1107
DELISTED
IQ Hedge Macro Tracker
MCRO
– –
-16,006
Closed -$413K
VVUS
1108
DELISTED
Vivus Inc
VVUS
– –
-1,160
Closed -$109K
SSRI
1109
DELISTED
Silver Standard Resources
SSRI
– –
-13,022
Closed -$80K
HYF
1110
DELISTED
MANAGED HIGH YLD PLUS FD INC
HYF
– –
-109,964
Closed -$223K
EWRS
1111
DELISTED
GUGGENHEIM RUSSELL 2000 EQUAL WEIGHT ETF
EWRS
– –
-18,902
Closed -$794K
SLY
1112
DELISTED
SPDR S&P 600 Small Cap ETF (based on S&P SmallCap 600 Index--symbol SML)
SLY
– –
-4,700
Closed -$225K
GAS
1113
DELISTED
AGL Resources Inc
GAS
– –
-68,607
Closed -$3.13M
DO
1114
DELISTED
Diamond Offshore Drilling
DO
– –
-78,985
Closed -$4.89M
VXX
1115
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
-204
Closed -$188K
KEG
1116
DELISTED
KEY ENERGY SERVICES INC
KEG
– –
-56,984
Closed -$416K
41 42 43 44
45

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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
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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 Technology at 7% of assets, up from 6.5% a quarter earlier, followed by Financials and Healthcare.

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.