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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
ELV icon
176
Elevance Health
ELV
$81.5B
– –
-56,724
Closed -$4.61M
EMB icon
177
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$15B
– –
-5,326
Closed -$587K
EMLC icon
178
VanEck JP Morgan EM Local Currency Bond ETF
EMLC
$4.79B
– –
-11,632
Closed -$566K
EPD icon
179
Enterprise Products Partners
EPD
$82.3B
– –
-9,452
Closed -$292K
EPP icon
180
iShares MSCI Pacific ex Japan ETF
EPP
$2.22B
– –
-127,886
Closed -$5.5M
GOOG icon
181
Alphabet (Google) Class C
GOOG
$4.36T
– –
-11,282
Closed -$259K
HIG icon
182
Hartford Financial Services
HIG
$38.9B
– –
-93,661
Closed -$2.86M
HUM icon
183
Humana
HUM
$43.7B
– –
-35,445
Closed -$2.92M
HYEM icon
184
VanEck Emerging Markets High Yield Bond ETF
HYEM
$523M
– –
-22,881
Closed -$574K
HYS icon
185
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
– –
-11,887
Closed -$1.23M
IHY icon
186
VanEck International High Yield Bond ETF
IHY
$43.3M
– –
-22,668
Closed -$588K
IJR icon
187
iShares Core S&P Small-Cap ETF
IJR
$109B
– –
-10,822
Closed -$491K
IVV icon
188
iShares Core S&P 500 ETF
IVV
$878B
– –
-97,817
Closed -$15.7M
IWD icon
189
iShares Russell 1000 Value ETF
IWD
$82.2B
– –
-6,240
Closed -$522K
IWF icon
190
iShares Russell 1000 Growth ETF
IWF
$121B
– –
-26,784
Closed -$484K
KDP icon
191
Keurig Dr Pepper
KDP
$42.3B
– –
-48,738
Closed -$2.27M
MCD icon
192
McDonald's
MCD
$192B
– –
-2,097
Closed -$206K
NLY icon
193
Annaly Capital Management
NLY
$17.1B
– –
-2,524
Closed -$126K
NOV icon
194
NOV
NOV
$6.93B
– –
-41,052
Closed -$2.58M
OMEX icon
195
Odyssey Marine Exploration
OMEX
$34.9M
– –
-866
Closed -$31K
PEG icon
196
Public Service Enterprise Group
PEG
$38.2B
– –
-9,616
Closed -$315K
PIE icon
197
Invesco Dorsey Wright Emerging Markets Momentum ETF
PIE
$237M
– –
-276,743
Closed -$4.97M
PNC icon
198
PNC Financial Services
PNC
$99.7B
– –
-36,974
Closed -$2.67M
QCOM icon
199
Qualcomm
QCOM
$155B
– –
-40,290
Closed -$2.44M
RWX icon
200
State Street SPDR Dow Jones International Real Estate ETF
RWX
$269M
– –
-172,552
Closed -$6.92M
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
Relative Value Partners Northbrook, Illinois $880M AUM 0.38% 1-Year Est. Return
SPG
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BOK
Bank of Kentucky Crestview Hills,, Kentucky $432M AUM 7.62% 1-Year Est. Return

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.