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FAAM

First Allied Asset Management Portfolio holdings

AUM $712M
1-Year Est. Return 9.35%
This Fund
S&P 500
This Quarter Est. Return
-0.75%
1 Year Est. Return
+9.35%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$744M
AUM Growth
+$63.5M
Cap. Flow
+$72.8M
Cap. Flow %
9.79%
Top 10 Hldgs %
17.19%
Holding
245
New
69
Increased
99
Reduced
41
Closed
28

Top Buys

Rank Stock Value
1
AAPL icon
Apple
AAPL
+$9.99M
2
EWH icon
iShares MSCI Hong Kong ETF
EWH
+$8.6M
3
EWG icon
iShares MSCI Germany ETF
EWG
+$8.42M
4
KDP icon
Keurig Dr Pepper
KDP
+$7.76M
5
BA icon
Boeing
BA
+$7.75M

Top Sells

Rank Stock Value
1
HEDJ icon
WisdomTree Europe Hedged Equity Fund
HEDJ
+$8.39M
2
EDIV icon
State Street SPDR S&P Emerging Markets Dividend ETF
EDIV
+$7.91M
3
BIV icon
Vanguard Intermediate-Term Bond ETF
BIV
+$7.19M
4
DHC
Diversified Healthcare Trust
DHC
+$7.18M
5
UL icon
Unilever
UL
+$7.09M

Sector Composition

Rank Sector Weight
1 Technology 9.06%
2 Financials 6.28%
3 Consumer Staples 5.56%
4 Industrials 5.24%
5 Real Estate 5.11%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PFG icon
226
Principal Financial Group
PFG
$24.7B
– –
-62,300
Closed -$3.12M
SDS icon
227
ProShares UltraShort S&P500
SDS
$397M
– –
-2,396
Closed -$6.19M
SLV icon
228
iShares Silver Trust
SLV
$28.7B
– –
-170,418
Closed -$3.41M
TRP icon
229
TC Energy
TRP
$68.4B
– –
-139,462
Closed -$6.69M
UL icon
230
Unilever
UL
$137B
– –
-138,585
Closed -$7.09M
VTR icon
231
Ventas
VTR
$45.9B
– –
-89,732
Closed -$6.64M
XLE icon
232
State Street Energy Select Sector SPDR ETF
XLE
$38.4B
– –
-4,318
Closed -$217K
XLU icon
233
State Street Utilities Select Sector SPDR ETF
XLU
$22.7B
– –
-9,944
Closed -$219K
CTXS
234
DELISTED
Citrix Systems Inc
CTXS
– –
-50,860
Closed -$2.5M
VXZ
235
DELISTED
iPath S&P 500 VIX Mid-Term Futures ETN due 1/30/2019
VXZ
– –
-11,351
Closed -$578K
POT
236
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-177,974
Closed -$6.84M
ESV
237
DELISTED
Ensco Rowan plc
ESV
– –
-4,921
Closed -$1.1M
FM
238
DELISTED
iShares Frontier and Select EM ETF
FM
– –
-55,386
Closed -$2M
VXX
239
DELISTED
iPath S&P 500 VIX Short-Term Futures ETN due 1/30/2019
VXX
– –
-3,581
Closed -$1.65M
6 7 8 9
10

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ICM
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GIM
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FAM
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PI
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RVP
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SPG
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BOK
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First Allied Asset Management's Q3 2014 Portfolio in Review

As of Q3 2014, First Allied Asset Management held 245 positions worth $744M, up 9.3% from $680M the previous quarter. Its ten largest holdings account for 17% of the portfolio.

First Allied Asset Management deployed $72.8M of net new capital in Q3 2014, opening 69 new positions and adding to 99 existing holdings. Its largest new stake was Apple: 406,972 shares worth $10.3M.

By sector, the portfolio is most concentrated in Technology at 9.1% of assets, up from 4.7% a quarter earlier, followed by Financials and Consumer Staples.

On the sell side, the largest reduction was Vanguard Intermediate-Term Bond ETF, an estimated $7.19M trimmed.

  • First Allied Asset Management's largest Q3 2014 buy was Apple: 406,972 shares worth $10.3M.
  • First Allied Asset Management added most to Verizon in Q3 2014, an estimated $5.94M increase.
  • First Allied Asset Management's biggest Q3 2014 reduction was Vanguard Intermediate-Term Bond ETF, cutting an estimated $7.19M.
  • First Allied Asset Management fully exited WisdomTree Europe Hedged Equity Fund in Q3 2014, selling an estimated $8.39M.
  • First Allied Asset Management's ten largest holdings make up 17% of its $744M portfolio in Q3 2014.
  • First Allied Asset Management opened 69 new positions and closed 28 in Q3 2014.
  • First Allied Asset Management's portfolio value rose 9.3% quarter-over-quarter to $744M.

Based on First Allied Asset Management's 13F filing for Q3 2014, filed 12 Nov 2014.