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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
DWX icon
176
State Street SPDR S&P International Dividend ETF
DWX
$529M
$370K 0.05%
8,000
– –
XLF icon
177
State Street Financial Select Sector SPDR ETF
XLF
$56.7B
$367K 0.05%
18,164
+7,392
+69% +$149K
XLV icon
178
State Street Health Care Select Sector SPDR ETF
XLV
$41.9B
$361K 0.05%
+5,661
New +$354K
IDV icon
179
iShares International Select Dividend ETF
IDV
$8.45B
$336K 0.05%
+9,333
New +$359K
IWB icon
180
iShares Russell 1000 ETF
IWB
$48.2B
$326K 0.04%
2,970
-41
-1% -$4.53K
NVS icon
181
Novartis
NVS
$297B
$309K 0.04%
+3,677
New +$297K
EFA icon
182
iShares MSCI EAFE ETF
EFA
$78B
$308K 0.04%
4,851
-27,084
-85% -$1.81M
RDS.B
183
DELISTED
Royal Dutch Shell PLC ADS Class B
RDS.B
$307K 0.04%
3,852
+689
+22% +$58.1K
UWM icon
184
ProShares Ultra Russell2000
UWM
$245M
$306K 0.04%
+16,260
New +$337K
RTN
185
DELISTED
Raytheon Company
RTN
$306K 0.04%
2,986
+6
+0.2% +$575
GOOG icon
186
Alphabet (Google) Class C
GOOG
$4.36T
$293K 0.04%
+9,285
New +$268K
GE icon
187
GE Aerospace
GE
$374B
$282K 0.04%
2,299
-49,952
-96% -$6.22M
NTT
188
DELISTED
Nippon Telegraph & Telephone
NTT
$273K 0.04%
8,872
+924
+12% +$30.2K
COP icon
189
ConocoPhillips
COP
$147B
$270K 0.04%
3,588
+1,200
+50% +$98.2K
KMP
190
DELISTED
KINDER MORGAN ENER PNTRS L.P.
KMP
$266K 0.04%
+2,857
New +$254K
NYRT
191
DELISTED
New York REIT, Inc.
NYRT
$261K 0.04%
+2,534
New +$267K
HDV
192
iShares Core High Dividend ETF
HDV
$14.5B
$258K 0.03%
+17,000
New +$256K
MO icon
193
Altria Group
MO
$114B
$248K 0.03%
+5,426
New +$232K
BIV icon
194
Vanguard Intermediate-Term Bond ETF
BIV
$28.8B
$243K 0.03%
2,884
-85,122
-97% -$7.19M
SHPG
195
DELISTED
Shire pic
SHPG
$242K 0.03%
908
-16
-2% -$3.97K
KTF
196
DWS Municipal Income Trust
KTF
$346M
$238K 0.03%
18,050
– –
SSO icon
197
ProShares Ultra S&P500
SSO
$7.87B
$230K 0.03%
+31,392
New +$231K
DD
198
DELISTED
Du Pont De Nemours E I
DD
$224K 0.03%
+3,264
New +$206K
DVY icon
199
iShares Select Dividend ETF
DVY
$23.5B
$221K 0.03%
+3,017
New +$227K
VOD icon
200
Vodafone
VOD
$36.3B
$216K 0.03%
+6,547
New +$218K
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.