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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
Cap. Flow
-$53.1M
Cap. Flow %
-7.99%
Top 10 Hldgs %
26.64%
Holding
221
New
28
Increased
83
Reduced
50
Closed
57

Top Buys

Rank Stock Value
1
VTIP icon
Vanguard Short-Term Inflation-Protected Securities Index Fund
VTIP
+$10.1M
2
DXJ icon
WisdomTree Japan Hedged Equity Fund
DXJ
+$9.69M
3
VHT icon
Vanguard Health Care ETF
VHT
+$9.09M
4
RALS
ProShares RAFI Long/Short
RALS
+$7.12M
5
TRV icon
Travelers Companies
TRV
+$6.1M

Top Sells

Rank Stock Value
1
IWM icon
iShares Russell 2000 ETF
IWM
+$17.2M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$15.7M
3
UWM icon
ProShares Ultra Russell2000
UWM
+$10.9M
4
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$10.2M
5
SSO icon
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
BRK.B icon
151
Berkshire Hathaway Class B
BRK.B
$1.1T
$329K 0.05%
2,900
-1,708
-37% -$197K
IWB icon
152
iShares Russell 1000 ETF
IWB
$48.2B
$283K 0.04%
3,009
-7,138
-70% -$667K
UWM icon
153
ProShares Ultra Russell2000
UWM
$245M
$270K 0.04%
14,816
-638,084
-98% -$10.9M
JNK icon
154
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$7.07B
$259K 0.04%
2,173
-3,490
-62% -$417K
EEMV icon
155
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.44B
$247K 0.04%
+4,203
New +$242K
PM icon
156
Philip Morris
PM
$297B
$242K 0.04%
2,820
-458
-14% -$40K
VXZ
157
DELISTED
iPath S&P 500 VIX Mid-Term Futures ETN due 1/30/2019
VXZ
$241K 0.04%
+3,202
New +$252K
RTN
158
DELISTED
Raytheon Company
RTN
$240K 0.04%
3,145
-75,970
-96% -$5.64M
CVS icon
159
CVS Health
CVS
$133B
$223K 0.03%
3,753
-520
-12% -$31K
KTF
160
DWS Municipal Income Trust
KTF
$346M
$223K 0.03%
18,050
– –
SRLN icon
161
State Street Blackstone Senior Loan ETF
SRLN
$5.3B
$214K 0.03%
+4,304
New +$215K
CNP icon
162
CenterPoint Energy
CNP
$27.7B
$207K 0.03%
8,614
-148
-2% -$3.53K
MCR
163
DELISTED
MFS Charter Income Trust
MCR
$152K 0.02%
17,171
-999
-5% -$8.84K
COY
164
DELISTED
BLACKROCK CORP HIGH YLD FD INC
COY
$122K 0.02%
17,000
– –
AGG icon
165
iShares Core US Aggregate Bond ETF
AGG
$137B
– –
-94,952
Closed -$10.2M
AMLP icon
166
Alerian MLP ETF
AMLP
$13B
– –
-2,116
Closed -$189K
AMZN icon
167
Amazon
AMZN
$2.92T
– –
-16,020
Closed -$225K
APA icon
168
APA Corp
APA
$13.2B
– –
-31,652
Closed -$2.59M
BND icon
169
Vanguard Total Bond Market
BND
$157B
– –
-49,567
Closed -$4M
BSV icon
170
Vanguard Short-Term Bond ETF
BSV
$44.7B
– –
-12,212
Closed -$985K
COP icon
171
ConocoPhillips
COP
$147B
– –
-4,556
Closed -$281K
DD icon
172
DuPont de Nemours
DD
$18.5B
– –
-23,668
Closed -$1.89M
DJP icon
173
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$800M
– –
-16,727
Closed -$610K
DVA icon
174
DaVita
DVA
$15.4B
– –
-3,470
Closed -$210K
EEMA icon
175
iShares MSCI Emerging Markets Asia ETF
EEMA
$833M
– –
-19,556
Closed -$1.01M
5 6
7
8 9

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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 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.