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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
+4.45%
1 Year Est. Return
+9.35%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$665M
AUM Growth
-$30.6M
(-4.4%)
Cap. Flow
-$53.1M
Cap. Flow
% of AUM
-7.99%
Top 10 Holdings %
Top 10 Hldgs %
26.64%
Holding
221
New
28
Increased
83
Reduced
50
Closed
57
Top Buys
| Rank | Stock | Value |
|---|---|---|
| 1 |
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
|
+$10.1M |
| 2 |
WisdomTree Japan Hedged Equity Fund
DXJ
|
+$9.69M |
| 3 |
Vanguard Health Care ETF
VHT
|
+$9.09M |
| 4 |
RALS
ProShares RAFI Long/Short
RALS
|
+$7.12M |
| 5 |
Travelers Companies
TRV
|
+$6.1M |
Top Sells
| Rank | Stock | Value |
|---|---|---|
| 1 |
iShares Russell 2000 ETF
IWM
|
+$17.2M |
| 2 |
iShares Core S&P 500 ETF
IVV
|
+$15.7M |
| 3 |
ProShares Ultra Russell2000
UWM
|
+$10.9M |
| 4 |
iShares Core US Aggregate Bond ETF
AGG
|
+$10.2M |
| 5 |
ProShares Ultra S&P500
SSO
|
+$8.87M |
Sector Composition
| Rank | Sector | Weight |
|---|---|---|
| 1 | Financials | 8.87% |
| 2 | Technology | 6.9% |
| 3 | Healthcare | 6.56% |
| 4 | Energy | 4.57% |
| 5 | Industrials | 4.1% |
| Name | Market Value | Portfolio Weight | Shares or Principal |
Change in Stake | Capital Flow | |
|---|---|---|---|---|---|---|
51
Wells Fargo
WFC
$261B
| $5.58M | 0.84% |
134,338
+10,730
| +9% | +$458K |
|
52
Invesco Senior Loan ETF
BKLN
$6.97B
| $5.53M | 0.83% |
221,053
+20,721
| +10% | +$514K |
|
53
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
| $5.52M | 0.83% |
65,288
+6,494
| +11% | +$548K |
|
54
Pfizer
PFE
$143B
| $5.5M | 0.83% |
200,677
+14,732
| +8% | +$401K |
|
55
Invesco National AMT-Free Municipal Bond ETF
PZA
$4.22B
| $5.41M | 0.81% |
233,443
+4,821
| +2% | +$111K |
|
56
Scotiabank
BNS
$107B
| $5.36M | 0.81% |
99,219
+8,611
| +10% | +$449K |
|
57
BP
BP
$116B
| $5.36M | 0.81% |
154,073
+14,234
| +10% | +$488K |
|
|
BNY
58
Bank of New York Mellon
BNY
$106B
| $5.34M | 0.8% |
174,435
+13,107
| +8% | +$402K |
|
59
Deere & Co
DE
$160B
| $5.2M | 0.78% |
64,005
+6,631
| +12% | +$552K |
|
60
Bank of Hawaii
BOH
$3.15B
| $5.14M | 0.77% |
93,702
+9,946
| +12% | +$537K |
|
|
MIN
61
Aberdeen Intermediate Income Fund
MIN
$274M
| $5.03M | 0.76% |
941,841
+119,688
| +15% | +$634K |
|
62
Toronto Dominion Bank
TD
$198B
| $4.91M | 0.74% |
+107,034
| New | +$4.55M |
|
|
DO
63
DELISTED
Diamond Offshore Drilling
DO
| $4.75M | 0.71% |
76,804
+8,037
| +12% | +$538K |
|
64
Baxter International
BAX
$13.5B
| $4.73M | 0.71% |
+131,694
| New | +$5.11M |
|
65
AstraZeneca
AZN
$263B
| $4.59M | 0.69% |
87,620
+7,591
| +9% | +$381K |
|
66
Vanguard FTSE Europe ETF
VGK
$30.7B
| $4.21M | 0.63% |
77,287
+73,073
| +1,734% | +$3.82M |
|
67
Vanguard Morningstar Small-Cap Growth ETF
VBK
$23.1B
| $4.01M | 0.6% |
35,169
+2,498
| +8% | +$276K |
|
68
Boeing
BA
$171B
| $3.81M | 0.57% |
32,803
+1,699
| +5% | +$183K |
|
|
SWY
69
DELISTED
SAFEWAY INC
SWY
| $3.48M | 0.52% |
121,753
+6,925
| +6% | +$165K |
|
70
Procter & Gamble
PG
$336B
| $3.31M | 0.5% |
44,435
+131
| +0.3% | +$10.4K |
|
|
EVV
71
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
| $3.17M | 0.48% |
205,326
+20,782
| +11% | +$315K |
|
|
EVG
72
Eaton Vance Short Duration Diversified Income Fund
EVG
$141M
| $3.07M | 0.46% |
202,692
+20,311
| +11% | +$313K |
|
73
iShares MSCI EAFE ETF
EFA
$78B
| $3.05M | 0.46% |
47,738
-12,995
| -21% | -$796K |
|
|
GAS
74
DELISTED
AGL Resources Inc
GAS
| $3.04M | 0.46% |
66,477
+4,969
| +8% | +$224K |
|
|
MDC
75
DELISTED
M.D.C. Holdings, Inc.
MDC
| $2.93M | 0.44% |
+135,828
| New | +$2.99M |
|
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First Allied Asset Management's Q3 2013 Portfolio in Review
As of Q3 2013, First Allied Asset Management held 221 positions worth $665M, down 4.4% from $696M the previous quarter. Its ten largest holdings account for 27% of the portfolio.
First Allied Asset Management withdrew a net $53.1M in Q3 2013, closing 57 positions and reducing 50 holdings. Its most notable exit was iShares Core S&P 500 ETF, an estimated $15.7M position sold in full.
By sector, the portfolio is most concentrated in Financials at 8.9% of assets, up from 7.3% a quarter earlier, followed by Technology and Healthcare.
Against the trend, First Allied Asset Management opened a new position in Vanguard Short-Term Inflation-Protected Securities Index Fund worth $10M.
- First Allied Asset Management's largest Q3 2013 buy was Vanguard Short-Term Inflation-Protected Securities Index Fund: 204,280 shares worth $10M.
- First Allied Asset Management added most to IBM in Q3 2013, an estimated $5.66M increase.
- First Allied Asset Management's biggest Q3 2013 reduction was iShares Russell 2000 ETF, cutting an estimated $17.2M.
- First Allied Asset Management fully exited iShares Core S&P 500 ETF in Q3 2013, selling an estimated $15.7M.
- First Allied Asset Management's ten largest holdings make up 27% of its $665M portfolio in Q3 2013.
- First Allied Asset Management opened 28 new positions and closed 57 in Q3 2013.
- First Allied Asset Management's portfolio value fell 4.4% quarter-over-quarter to $665M.
Based on First Allied Asset Management's 13F filing for Q3 2013, filed 7 Nov 2013.