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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
+7.4%
1 Year Est. Return
+15.89%
3 Year Est. Return
+33.5%
5 Year Est. Return
+71.76%
10 Year Est. Return
–
AUM
$2.96B
AUM Growth
+$150M
Cap. Flow
-$32.1M
Cap. Flow %
-1.09%
Top 10 Hldgs %
17.64%
Holding
1,706
New
85
Increased
499
Reduced
581
Closed
500

Top Buys

Rank Stock Value
1
FVD icon
First Trust Value Line Dividend Fund
FVD
+$10.6M
2
ACP
abrdn Income Credit Strategies Fund
ACP
+$10.3M
3
QUAL icon
iShares MSCI USA Quality Factor ETF
QUAL
+$7.15M
4
DGRO icon
iShares Core Dividend Growth ETF
DGRO
+$6.34M
5
MGK icon
Vanguard Morningstar Mega Cap Growth ETF
MGK
+$5.61M

Top Sells

Rank Stock Value
1
VBK icon
Vanguard Morningstar Small-Cap Growth ETF
VBK
+$8.42M
2
QQQ icon
Invesco QQQ Trust
QQQ
+$8.03M
3
FLRN icon
State Street SPDR Bloomberg Investment Grade Floating Rate ETF
FLRN
+$7.26M
4
CELG
Celgene Corp
CELG
+$6.91M
5
MSFT icon
Microsoft
MSFT
+$6.17M

Sector Composition

Rank Sector Weight
1 Miscellaneous 60.07%
2 Technology 8.83%
3 Financials 6.32%
4 Healthcare 4.7%
5 Communication Services 4.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PSEC icon
1151
Prospect Capital
PSEC
$1.13B
$159K 0.01%
24,745
-10,988
-31% -$71.6K
JPC icon
1152
Nuveen Preferred & Income Opportunities Fund
JPC
$2.64B
$155K 0.01%
15,164
-201
-1% -$2.04K
TBIO
1153
DELISTED
Translate Bio, Inc. Common Stock
TBIO
$155K 0.01%
19,000
+6,000
+46% +$55.4K
TEI
1154
Templeton Emerging Markets Income Fund
TEI
$304M
$154K 0.01%
16,805
+3,075
+22% +$27.7K
RFP
1155
DELISTED
Resolute Forest Products Inc.
RFP
$154K 0.01%
37,048
-1,385
-4% -$5.75K
BWG
1156
BrandywineGLOBAL Global Income Opportunities Fund
BWG
$123M
$151K 0.01%
11,775
+795
+7% +$9.82K
SPPP
1157
Sprott Physical Platinum and Palladium Trust
SPPP
$573M
$144K ﹤0.01%
10,000
– –
BMY.RT
1158
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
$142K ﹤0.01%
+49,124
New +$128K
FEI
1159
DELISTED
FIRST TRUST MLP AND ENERGY INCOME FUND
FEI
$139K ﹤0.01%
11,618
– –
OIA icon
1160
Invesco Municipal Income Opportunities Trust
OIA
$274M
$138K ﹤0.01%
17,467
– –
GNW icon
1161
Genworth Financial
GNW
$3.81B
$136K ﹤0.01%
30,902
-682
-2% -$2.87K
BDJ icon
1162
BlackRock Enhanced Equity Dividend Trust
BDJ
$1.7B
$129K ﹤0.01%
+13,120
New +$123K
DKNG icon
1163
DraftKings
DKNG
$12.1B
$126K ﹤0.01%
+11,900
New +$120K
EHI
1164
Western Asset Global High Income Fund
EHI
$168M
$126K ﹤0.01%
12,546
-32
-0.3% -$314
GLO
1165
Clough Global Opportunities Fund
GLO
$235M
$123K ﹤0.01%
+13,373
New +$124K
MVF
1166
DELISTED
BlackRock MuniVest Fund
MVF
$119K ﹤0.01%
13,145
-1,653
-11% -$15K
PCF
1167
High Income Securities Fund
PCF
$99.8M
$118K ﹤0.01%
13,100
– –
FAX
1168
abrdn Asia-Pacific Income Fund
FAX
$570M
$116K ﹤0.01%
4,597
-545
-11% -$13.9K
EVM
1169
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
$112K ﹤0.01%
10,048
-3,004
-23% -$33.8K
CPRX
1170
DELISTED
Catalyst Pharmaceutical
CPRX
$109K ﹤0.01%
29,000
– –
VVR icon
1171
Invesco Senior Income Trust
VVR
$446M
$106K ﹤0.01%
24,695
-2,380
-9% -$9.93K
NOK icon
1172
Nokia
NOK
$56.8B
$104K ﹤0.01%
27,987
+4,942
+21% +$19.4K
MCR
1173
DELISTED
MFS Charter Income Trust
MCR
$102K ﹤0.01%
12,275
-3,708
-23% -$30.9K
GFI icon
1174
Gold Fields
GFI
$37.4B
$101K ﹤0.01%
15,470
-1,958
-11% -$11.1K
GER
1175
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
$98K ﹤0.01%
2,537
– –
45 46
47
48 49

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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
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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 2019 Portfolio in Review

As of Q4 2019, First Allied Advisory Services held 1,706 positions worth $2.96B, up 5.3% from $2.81B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

First Allied Advisory Services's Q4 2019 filing shows 85 new, 499 increased, 581 reduced and 500 closed positions. Its largest new stake was abrdn Income Credit Strategies Fund: 907,786 shares worth $10.4M. The largest sale was Vanguard Morningstar Small-Cap Growth ETF, an estimated $8.42M.

By sector, the portfolio is most concentrated in Miscellaneous at 60% of assets, down from 60% a quarter earlier, followed by Technology and Financials.

  • First Allied Advisory Services's largest Q4 2019 buy was abrdn Income Credit Strategies Fund: 907,786 shares worth $10.4M.
  • First Allied Advisory Services added most to First Trust Value Line Dividend Fund in Q4 2019, an estimated $10.6M increase.
  • First Allied Advisory Services's biggest Q4 2019 reduction was Vanguard Morningstar Small-Cap Growth ETF, cutting an estimated $8.42M.
  • First Allied Advisory Services fully exited Celgene Corp in Q4 2019, selling an estimated $6.91M.
  • First Allied Advisory Services's ten largest holdings make up 18% of its $2.96B portfolio in Q4 2019.
  • First Allied Advisory Services opened 85 new positions and closed 500 in Q4 2019.
  • First Allied Advisory Services's portfolio value rose 5.3% quarter-over-quarter to $2.96B.

Based on First Allied Advisory Services's 13F filing for Q4 2019, filed 10 Feb 2020.